Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Norgaard is a securities professional with over 15 years of experience in the financial industry. James currently works at Sixth Street BD, LLC, where he has been employed since May 2020. Prior to his current role, James was employed by APOLLO GLOBAL SECURITIES, LLC, AIG EQUITY SALES CORP., CITIGROUP GLOBAL MARKETS INC., and CITICORP INVESTMENT SERVICES. James holds the following licenses: Series 63, Series 66, Series 7, and SIE. He has been registered with the state of New York since May 2020. James is registered with FINRA and is licensed in all 50 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.
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.
1
2
NY
05/19/2020 - Present
Sixth Street BD, LLC (New York NY)
NY
04/01/2011 - 01/31/2020
APOLLO GLOBAL SECURITIES, LLC (NEW YORK NY)
NY
10/01/2007 - 09/25/2008
AIG EQUITY SALES CORP. (NEW YORK NY)
NY
05/29/2007 - 07/11/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/17/2005 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NY
01/28/1999 - 04/20/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 11/09/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Norgaard is the right advisor for you? Invested Better is here to help.
