Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Grice is a financial advisor with over 29 years of experience in the industry. James is currently registered with Fidelity Brokerage Services LLC and National Financial Services LLC. James has a strong background in investments and has passed numerous industry exams, including the Series 63, Series 10, Series 9, Series 99TO, SIE and Series 7 exams.
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.
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.
1
2
TX
04/24/2020 - Present
Fidelity Brokerage Services LLC (WESTLAKE TX)
TX
03/16/1994 - 04/26/2007
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
BC
Issued 11/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/09/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/26/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Grice is the right advisor for you? Invested Better is here to help.
