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 Williams is an investment advisor representative with J.p. Morgan Securities LLC. James is a registered investment advisor in Texas. James has been in the securities industry for over 10 years, having previously worked at Purshe Kaplan Sterling Investments. James holds the Series 7, 63, and 65 securities licenses as well as the SIE exam. James specializes in providing financial planning, portfolio management for individuals and businesses, and pension consulting.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
11/13/2023 - Present
J.p. Morgan Securities LLC (AUSTIN TX)
TX
08/09/2022 - 07/31/2023
PURSHE KAPLAN STERLING INVESTMENTS (Austin TX)
IA
Issued 07/26/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/22/2023
Series 7TO - General Securities Representative Examination
BC
Issued 08/09/2022
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/28/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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