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 Brain is a registered investment advisor representative, licensed in 39 states and two jurisdictions. James has been in the industry since July 1995 and is currently employed by Stephens in Rogers, Arkansas. James is associated with Stephens since April 2009. Before Stephens, James was associated with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from July 1995 until April 2009.
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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
AR
03/24/2014 - Present
Stephens (ROGERS AR)
AR
07/25/1995 - 04/06/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROGERS AR)
NY
09/10/1992 - 09/21/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 01/09/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/25/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/1996
Series 3 - National Commodity Futures Examination
BC
Issued 07/24/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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