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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Clark is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. James is registered to provide investment advice in Florida, Texas, and other states. James is a Series 7 and Series 66 registered professional who holds the Securities Industry Essentials Examination certification. James is registered with FINRA and is active in both Broker-Dealer and Investment Advisor capacities. James's professional experience began in 2011. James is a licensed agent and an Investment Advisor Representative. The firm's main office is located in New York, New York. The firm has approximately 2911578 total client accounts and manages more than $1.2 trillion in assets.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
10/15/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PONTE VEDRA BEACH FL)
BOTH
Issued 07/12/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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