Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Goldstein is an active financial professional in the state of Colorado. James is registered with the state of Colorado as an Investment Advisor Representative and also holds the Series 63 and Series 65 licenses. James has been in the financial industry since February 3, 2000. James is currently registered with Axos Invest, Inc. and has been registered with this firm since October 7, 2022. Before that James worked for E*TRADE SECURITIES LLC from August 7, 2019 until August 16, 2021 and before that with OPPENHEIMERFUNDS DISTRIBUTOR, INC. from November 22, 1999 until May 24, 2019. James holds a Series 6, 7, 24, 26, 51 and SIE licenses. James also has experience in portfolio management for individuals.
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.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CO
10/07/2022 - Present
Axos Invest, Inc. (Centennial CO)
CO
08/07/2019 - 08/16/2021
E*TRADE SECURITIES LLC (Centennial CO)
CO
11/22/1999 - 05/24/2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CENTENNIAL CO)
IA
Issued 10/07/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 05/28/2022
Series 4 - Registered Options Principal Examination
BC
Issued 06/17/2013
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 04/19/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/19/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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