Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Armstrong is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been working in the financial industry since 1991. Prior to joining Merrill Lynch, James was a financial advisor at UBS Financial Services Inc. James has a wide range of experience in the financial industry, including experience with portfolio management, investment advisory, and brokerage services. James is also a registered representative with the Financial Industry Regulatory Authority (FINRA).
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
11/08/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HIGHLAND PARK IL)
IL
07/11/2006 - 11/18/2013
UBS FINANCIAL SERVICES INC. (NORTHBROOK IL)
IL
01/01/2004 - 06/12/2006
PRU GLOBAL SECURITIES, LLC (CHICAGO IL)
NY
11/15/1996 - 01/01/2004
PRUDENTIAL EQUITY GROUP, INC. (NEW YORK NY)
NY
07/01/1996 - 09/19/1996
E. D. & F. MAN INTERNATIONAL INC. (NEW YORK NY)
IL
08/11/1992 - 07/01/1996
INDEX SECURITIES, INC. (CHICAGO IL)
IL
01/24/1991 - 05/26/1992
THE CHICAGO CORPORATION (CHICAGO IL)
BOTH
Issued 07/19/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/10/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/23/1991
Series 7 - General Securities Representative Examination
BC
Issued 02/14/1990
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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