Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Bardes has been in the financial industry since February 13, 1996. James is currently registered with Aegis Capital Corp. James is Series 7, 24, 55, 63 and SIE licensed. Prior to joining Aegis Capital Corp., James worked at CREDIT SUISSE SECURITIES (USA) LLC, BNY MELLON CAPITAL MARKETS, LLC, PERSHING LLC, WALNUT STREET SECURITIES, INC., NEW ENGLAND SECURITIES, METLIFE SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, NATHAN & LEWIS SECURITIES, INC., FUTURESHARE FINANCIAL LLC, WALL STREET ACCESS, and INVESTEX SECURITIES GROUP, INC.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
03/13/2017 - Present
Aegis Capital Corp. (NEW YORK NY)
NY
08/14/2014 - 10/17/2016
CREDIT SUISSE SECURITIES (USA) LLC (New York NY)
NJ
01/02/2014 - 07/14/2014
BNY MELLON CAPITAL MARKETS, LLC (JERSEY CITY NJ)
NJ
09/08/2006 - 07/14/2014
PERSHING LLC (JERSEY CITY NJ)
CA
02/14/2002 - 09/28/2005
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
NY
03/08/2002 - 09/26/2005
NEW ENGLAND SECURITIES (NEW YORK NY)
MA
02/13/2003 - 09/23/2005
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
03/08/2002 - 09/23/2005
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NY
01/28/2002 - 08/01/2003
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NJ
12/06/2001 - 01/11/2002
FUTURESHARE FINANCIAL LLC (JERSEY CITY NJ)
NY
06/18/1997 - 05/02/2001
WALL STREET ACCESS (NEW YORK NY)
NY
10/28/1994 - 04/16/1997
INVESTEX SECURITIES GROUP, INC. (NEW YORK NY)
NE
11/08/1993 - 10/14/1994
WATERHOUSE SECURITIES, INC. (OMAHA NE)
BC
Issued 08/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2004
Series 24 - General Securities Principal Examination
BC
Issued 11/19/1996
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 03/30/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/05/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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