Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames D'alessio is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. James has been in the financial services industry since 1998. James is also registered with the following states: Arizona, California, Delaware, Hawaii, Kansas, Nevada, New Jersey, New Mexico, New York, Ohio, Oregon, Texas, Virginia, and Wisconsin. James is also a registered investment advisor with Zions Direct, Inc., Financial Network Investment Corporation, Banc of America Investment Services, Inc., CUSO Financial Services, L.P., Wells Fargo Securities Inc., and Select Capital Corporation.
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
CA
01/15/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN DIEGO CA)
UT
07/15/2008 - 10/18/2010
ZIONS DIRECT, INC. (SALT LAKE CITY UT)
CA
03/13/2008 - 06/02/2008
FINANCIAL NETWORK INVESTMENT CORPORATION (SAN DIEGO CA)
CA
02/24/2003 - 03/05/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (RANCHO SANTA FE CA)
CA
03/26/2001 - 02/24/2003
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
CA
08/18/1999 - 03/19/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
CA
05/21/1997 - 01/07/1998
SELECT CAPITAL CORPORATION (SACRAMENTO CA)
NY
06/15/1995 - 03/26/1996
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
IA
Issued 11/14/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/3/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/9/1999
Series 7 - General Securities Representative Examination
BC
Issued 6/14/1995
Series 6 - Investment Company Products/Variable Contracts 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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