Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Finlayson is a financial professional with over 20 years of experience in the financial services industry. James has held various roles at prominent firms including Maple Securities U.S.A. Inc. and Maple Arbitrage Inc. James is currently registered with Elequin Securities LLC and holds several licenses including Series 3, 4, 7, 24, 27, 55 and 63. James is dedicated to providing comprehensive financial advice to individuals and families.
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.
1
2
NY
07/07/2023 - Present
Elequin Securities LLC (New York NY)
NJ
02/08/1999 - 04/28/2017
MAPLE SECURITIES U.S.A. INC. (JERSEY CITY NJ)
NJ
03/08/2000 - 10/17/2003
MAPLE ARBITRAGE INC. (JERSEY CITY NJ)
BC
Issued 11/11/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2023
Series 27 - Financial and Operations Principal Examination
BC
Issued 08/12/2002
Series 4 - Registered Options Principal Examination
BC
Issued 03/09/1999
Series 24 - General Securities Principal Examination
BC
Issued 08/03/2023
Series 3 - National Commodity Futures Examination
BC
Issued 04/28/2017
SIE - Securities Industry Essentials Examination
BC
Issued 04/13/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/05/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
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