Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ernest Hack is a financial advisor at Raymond James & Associates, Inc. James has been in the industry since 2002. James is registered with the state of Illinois and Texas. He has a Series 7, 24, 63 and 66 license. James is a dedicated financial advisor, providing a wide range of services including financial planning, portfolio management, and educational seminars.
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
IL
04/05/2021 - Present
Raymond James & Associates, Inc. (Deer Park IL)
IL
03/28/2014 - 04/14/2021
UBS FINANCIAL SERVICES INC. (BARRINGTON IL)
IL
04/05/2011 - 03/31/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DEER PARK IL)
IL
09/30/2006 - 06/11/2010
UBS SECURITIES LLC (CHICAGO IL)
IL
03/29/2001 - 10/06/2006
ABN AMRO INCORPORATED (CHICAGO IL)
BOTH
Issued 04/27/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/24/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/01/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2001
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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