Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Egan is a financial advisor who has been in the industry since February 7, 1995. He is currently registered with Charles Schwab & CO., Inc. and has been with them since January 26, 2022. Prior to that, James worked at TD Ameritrade, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Park Avenue Securities LLC, Cantor Fitzgerald Partners, Cantor Fitzgerald Securities, Cantor Fitzgerald & Co., Chase Securities Inc., Chase Securities, Inc., and Interstate/Johnson Lane Corporation.
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.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
01/26/2022 - Present
Charles Schwab & CO., Inc. (The Woodlands TX)
TX
01/23/2014 - 05/19/2024
TD AMERITRADE, INC. (The Woodlands TX)
TX
10/15/2010 - 01/06/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (THE WOODLANDS TX)
TX
04/02/2009 - 08/04/2010
PARK AVENUE SECURITIES LLC (HOUSTON TX)
NY
02/03/1997 - 03/29/2000
CANTOR FITZGERALD PARTNERS (NEW YORK NY)
NY
10/11/1996 - 09/04/1998
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
NY
10/11/1996 - 02/03/1997
CANTOR FITZGERALD & CO. (NEW YORK NY)
NY
04/01/1996 - 09/19/1996
CHASE SECURITIES INC. (NEW YORK NY)
MD
10/07/1992 - 04/01/1996
CHASE SECURITIES, INC. (NEW YORK MD)
NC
03/01/1991 - 09/18/1992
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
NY
04/25/1986 - 12/07/1990
UBS SECURITIES INC. (NEW YORK NY)
NA
02/21/1985 - 12/05/1985
FIRST INVESTORS CORPORATION
BOTH
Issued 11/05/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/09/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/2010
Series 7 - General Securities Representative Examination
BC
Issued 03/31/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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