Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Daniel Harvey is a financial professional with over 18 years of experience in the securities industry. Currently, James is a registered representative with Roth Capital Partners, LLC. James has experience in various financial roles and has held previous positions at MKM PARTNERS LLC, MACRO RISK ADVISORS LLC, CANACCORD GENUITY LLC, OPPENHEIMER & CO. INC., GUGGENHEIM SECURITIES, LLC, HAPOALIM SECURITIES USA, INC., COLLINS STEWART INC., TULLETT LIBERTY SECURITIES INC., and BURLINGTON CAPITAL MARKETS INC. James specializes in providing investment advice and related services.
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.
(1) distribution of sell-side research reports/corporate access (2) solicitor
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.
1
2
CT
01/31/2023 - Present
Roth Capital Partners, LLC (STAMFORD CT)
CT
10/26/2020 - 01/31/2023
MKM PARTNERS LLC (STAMFORD CT)
NY
03/02/2020 - 10/21/2020
MACRO RISK ADVISORS LLC (RYE NY)
NY
02/21/2017 - 01/17/2020
CANACCORD GENUITY LLC (NEW YORK NY)
NY
04/01/2016 - 02/17/2017
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
07/18/2011 - 03/22/2016
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
02/01/2007 - 08/01/2011
HAPOALIM SECURITIES USA, INC. (NEW YORK NY)
NY
11/13/2006 - 02/05/2007
COLLINS STEWART INC. (NEW YORK NY)
NY
02/01/2005 - 12/05/2006
TULLETT LIBERTY SECURITIES INC. (NEW YORK NY)
NY
01/31/2005 - 01/31/2005
BURLINGTON CAPITAL MARKETS INC. (NEW YORK NY)
BC
Issued 05/13/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/10/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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