Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dell Stine is a financial advisor with over 20 years of experience in the industry. James Dell Stine has held a variety of positions throughout his career, including at Morgan Stanley DW Inc. and Merrill Lynch, Pierce, Fenner & Smith Inc. James Dell Stine is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Texas. James Dell Stine holds a Series 66 license, as well as a Series 3, Series 7, Series 9, Series 10, and Series 31. James Dell Stine is also registered with the state of Texas.
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
TX
06/29/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WICHITA FALLS TX)
NY
03/02/2001 - 07/02/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 03/16/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/09/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/30/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2013
Series 3 - National Commodity Futures Examination
BC
Issued 03/16/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 03/01/2001
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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