Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rafferty is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. located in Pennington, NJ. James has been in the industry since 1984 and holds a Series 7, Series 10, Series 9, Series 63, and Series 65 licenses. James offers a range of advisory services, including portfolio management for individuals and businesses, pension consulting, 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.
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
NJ
05/08/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Cranbury NJ)
NY
08/06/2010 - 03/10/2011
NAVPOINT, LLC (NEW YORK CITY NY)
PA
05/12/2010 - 08/30/2010
NOVA CAPITAL MARKETS, LLC (WEST CONSHOHOCKEN PA)
NY
05/06/2005 - 09/01/2009
LAZARD CAPITAL MARKETS LLC (NEW YORK NY)
NY
11/15/1982 - 05/10/2005
LAZARD FRERES & CO. LLC (NEW YORK NY)
NA
08/25/1982 - 10/26/1982
HERZFELD & STERN
IA
Issued 05/07/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/31/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/29/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative 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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