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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Emery Gendron is a financial advisor with Raymond James & Associates, Inc., specializing in a wide range of financial services including financial planning, portfolio management for businesses and individuals, and pension consulting. James holds a Series 63, Series 65, Series 7, Series 3, Series 10, Series 9, Series 31, and SIE licenses, and is a Certified Financial Planner. James has been in the financial services industry since 1987 and has worked for several firms including Wells Fargo Clearing Services, LLC and A. G. Edwards & Sons, Inc. James's experience and expertise make him a valuable resource for clients seeking to achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NY
03/30/2022 - Present
Raymond James & Associates, Inc. (BUFFALO NY)
NY
01/01/2008 - 10/08/2021
WELLS FARGO CLEARING SERVICES, LLC (ORCHARD PARK NY)
NY
07/25/1994 - 01/03/2008
A. G. EDWARDS & SONS, INC. (WILLIAMSVILLE NY)
NY
07/31/1993 - 08/05/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
10/08/1990 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/27/1990 - 10/29/1990
EMPIRE NATIONAL SECURITIES, INCORPORATED
NY
02/26/1987 - 07/11/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 07/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/28/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2010
Series 3 - National Commodity Futures Examination
BC
Issued 08/03/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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