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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames E. Saturne is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the financial services industry since 2011. James is licensed to provide securities advice and investment advice in Massachusetts, Connecticut and a number of other states. In addition to working at Merrill Lynch, Pierce, Fenner & Smith Inc., James was previously employed by AXA Advisors, LLC, Citizens Securities, Inc., H.D. Vest Investment Services, and Banc of America Investment Services, Inc. James holds a Series 6, Series 7TO, Series 63, and Series 66 license and also earned the SIE. James has experience in investment advice and portfolio management for individuals and businesses.
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
MA
03/04/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
03/02/2017 - 12/12/2018
AXA ADVISORS, LLC (WELLESLEY MA)
MA
10/04/2013 - 03/01/2016
CITIZENS SECURITIES, INC. (QUINCY MA)
TX
07/13/2010 - 10/14/2011
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
MA
04/23/2007 - 12/09/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (WALTHAM MA)
BOTH
Issued 03/01/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/25/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/2007
Series 6 - Investment Company Products/Variable Contracts 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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