Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Schwalbe is an active Investment Advisor Representative with Eagle Strategies LLC. James has been in the securities industry since November 30, 1997, and has been with Eagle Strategies LLC since May 8, 2019. Previously, James was registered with Pruco Securities, LLC., Share Financial Services, Inc., Esposito Securities, LLC, Comerica Securities, Edward Jones, Sterne, Agee & Leach, Inc., Barclays Capital Inc., Citigroup Global Markets Inc. and Goldman, Sachs & Co.. James offers financial planning, portfolio management for individuals and pension consulting. James is registered in Texas and has passed the Series 63, 66, 7, 24 and SIE exams.
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.
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.
A percentage of the total value of assets under management is charged.
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2
TX
05/08/2019 - Present
Eagle Strategies LLC (DALLAS TX)
TX
06/16/2017 - 03/18/2019
PRUCO SECURITIES, LLC. (IRVING TX)
TX
04/26/2016 - 06/05/2017
SHARE FINANCIAL SERVICES, INC. (DALLAS TX)
TX
10/16/2014 - 02/16/2015
ESPOSITO SECURITIES, LLC (DALLAS TX)
TX
12/03/2013 - 09/24/2014
COMERICA SECURITIES (DALLAS TX)
TX
07/22/2013 - 11/27/2013
EDWARD JONES (PLANO TX)
TX
06/22/2011 - 06/12/2013
STERNE, AGEE & LEACH, INC. (DALLAS TX)
IL
07/05/2006 - 06/06/2011
BARCLAYS CAPITAL INC. (CHICAGO IL)
NY
01/22/2001 - 06/30/2006
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/01/1996 - 01/04/2001
GOLDMAN, SACHS & CO. (NEW YORK NY)
NA
05/14/1996 - 10/01/1996
GOLDMAN SACHS MONEY MARKETS, L.P.
BOTH
Issued 8/9/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/17/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/13/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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