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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 Francis Capen is an active investment advisor representative in New Jersey, with more than 25 years of experience in the financial services industry. James Francis Capen is currently registered with Raymond James Financial Services Advisors, Inc., and provides investment advisory services for high-net-worth individuals, corporations, pension and profit sharing plans, and other client types. James Francis Capen is also a registered investment adviser representative in Texas. Prior to joining Raymond James Financial Services Advisors, Inc., James Francis Capen worked at CITIGROUP GLOBAL MARKETS INC. and FINANCIAL NETWORK INVESTMENT CORPORATION. James Francis Capen holds the Series 6, 7, 9, 63, and 65 licenses and the SIE exam, which demonstrates his expertise in a wide range of financial products and services.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NJ
10/13/2023 - Present
Raymond James Financial Services Advisors, Inc. (Brick NJ)
NJ
05/14/1997 - 05/27/2009
CITIGROUP GLOBAL MARKETS INC. (TOMS RIVER NJ)
CA
07/31/1996 - 09/03/1996
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
IA
Issued 08/14/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/11/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/25/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/17/1997
Series 7 - General Securities Representative Examination
BC
Issued 07/30/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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