Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Davis is a financial professional with over 29 years of experience in the industry. James has a broad range of experience in the financial services industry, having held roles at several firms, including Bloomberg Tradebook LLC, E*TRADE Capital Markets LLC, and Citigroup Global Markets Inc. James is currently registered with Wells Fargo Securities, LLC. James holds licenses for both broker-dealer and investment advisor activities. James is also licensed to sell various products, including securities, investment company products, municipal securities, and direct participation programs.
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.
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.
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2
NY
08/27/2019 - Present
Wells Fargo Securities, LLC (New York NY)
NY
04/15/2008 - 08/06/2019
BLOOMBERG TRADEBOOK LLC (NEW YORK NY)
NY
03/04/2005 - 01/25/2008
E*TRADE CAPITAL MARKETS LLC (NEW YORK NY)
NJ
03/04/2005 - 09/29/2005
E*TRADE CLEARING LLC (JERSEY CITY NJ)
NY
08/20/1996 - 04/01/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
01/03/1995 - 07/10/1996
PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)
NJ
09/20/1994 - 01/03/1995
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NJ
05/18/1993 - 02/10/1994
FIRST INTERREGIONAL EQUITY CORP. (MILBURN NJ)
BC
Issued 06/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 03/01/2012
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2008
Series 3 - National Commodity Futures Examination
BC
Issued 05/10/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/17/1993
Series 7 - General Securities Representative 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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