Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bateman is a registered representative with Fidelity Brokerage Services LLC. James has been in the financial services industry since 2004. James is licensed to sell securities in 53 states, including Utah, where they are based. James also holds Series 3, 4, 7, 55, 57TO, and 63 licenses.
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
UT
11/15/2004 - Present
Fidelity Brokerage Services LLC (SALT LAKE CITY UT)
BOTH
Issued 12/08/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/19/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2006
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2007
Series 3 - National Commodity Futures Examination
BC
Issued 07/17/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/12/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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