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 Pinzker is a financial advisor with over 29 years of experience in the industry. James is currently registered with A.g.p. / Alliance Global Partners. James has also been previously registered with B. RILEY WEALTH MANAGEMENT, NATIONAL SECURITIES CORPORATION, OPPENHEIMER & CO. INC., UBS FINANCIAL SERVICES INC., and CITIGROUP GLOBAL MARKETS INC.. James holds the Series 63, Series 65, SIE, Series 31 and Series 7 licenses and is registered in 30 states.
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.
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.
A percentage of the total value of assets under management is charged.
Sub-adviser of pooled investment vehicle charges a performance f
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2
NJ
04/16/2024 - Present
A.g.p. / Alliance Global Partners (Holmdel NJ)
NC
07/22/2022 - 04/18/2024
B. RILEY WEALTH MANAGEMENT (Charlotte NC)
NC
12/11/2015 - 07/22/2022
NATIONAL SECURITIES CORPORATION (CHARLOTTE NC)
IL
04/19/2012 - 12/16/2015
OPPENHEIMER & CO. INC. (CHICAGO IL)
IL
04/13/2006 - 04/27/2012
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
IL
12/11/1998 - 04/25/2006
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
NY
10/10/1994 - 12/15/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 11/16/1994
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/09/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 10/05/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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