Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames F. Posner is a financial professional with over 20 years of experience in the securities industry. James currently works at R. F. Lafferty & Co., Inc., where James is registered as a broker and investment advisor. James has held previous roles at E*TRADE PROFESSIONAL TRADING, LLC, SCHONFELD SECURITIES, LLC, and KNIGHT CAPITAL MARKETS, LLC. James holds the Series 63, Series 22TO, Series 99TO, Series 82TO, Series 7TO, SIE, Series 55, and Series 7 licenses. James is registered in Arizona, California, Connecticut, Delaware, District of Columbia, Florida, Georgia, Nevada, New Jersey, New York, Ohio, Oklahoma, Texas, Virgin Islands, and Wisconsin.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NY
08/20/2021 - Present
R. F. Lafferty & CO., Inc. (NEW YORK NY)
NY
12/01/2003 - 06/07/2004
E*TRADE PROFESSIONAL TRADING, LLC (NEW YORK NY)
NY
06/12/2003 - 12/03/2003
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
10/26/2000 - 03/21/2003
KNIGHT CAPITAL MARKETS, LLC. (PURCHASE NY)
BC
Issued 08/31/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/24/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/24/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/24/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 08/20/2021
Series 7TO - General Securities Representative Examination
BC
Issued 08/13/2021
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/25/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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