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. Shulman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the financial industry since 1990 and has held various roles at different firms including Wachovia Securities, LLC and Fahnestock & Co. Inc. James has Series 3, 7, 63, and 65 licenses and the SIE exam. James is registered in 14 states. James' specializations include securities, commodities, mutual funds, variable contracts, and insurance. James offers portfolio management services to individuals and businesses. James also offers pension consulting and educational seminars.
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
02/16/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOCA RATON FL)
FL
02/26/2009 - 04/20/2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (DELRAY BEACH FL)
FL
08/05/2003 - 03/08/2007
WACHOVIA SECURITIES, LLC (BOCA RATON FL)
NY
01/03/2003 - 08/08/2003
FAHNESTOCK & CO. INC. (NEW YORK NY)
NY
05/15/1999 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
12/09/1991 - 05/07/1999
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
04/09/1990 - 12/11/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/15/1988 - 04/16/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
05/19/1987 - 12/19/1988
DREXEL BURNHAM LAMBERT INCORPORATED
NA
08/21/1986 - 05/27/1987
SOUTHMARK FINANCIAL SERVICES, INC.
IA
Issued 10/13/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/29/1987
Series 3 - National Commodity Futures Examination
BC
Issued 08/16/1986
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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