Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Halabi is a registered representative of Charles Schwab & CO., INC. James has been in the securities industry since 1995. James is also registered as an investment advisor representative in Maryland. Previously, James was registered with TD AMERITRADE, INC. and CUSO FINANCIAL SERVICES, L.P.. James is a graduate of the University of Maryland. James has been involved in the financial industry since 1995. James is a member of the Financial Industry Regulatory Authority (FINRA). James has also passed the Series 63 and 66 exams. James provides financial planning and portfolio management 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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
MD
01/26/2022 - Present
Charles Schwab & CO., Inc. (Potomac MD)
MD
04/12/2019 - 07/29/2024
TD AMERITRADE, INC. (Potomac MD)
MD
09/05/2017 - 01/30/2019
CUSO FINANCIAL SERVICES, L.P. (Kensington MD)
VA
01/02/2015 - 09/07/2017
CAPITAL ONE INVESTING, LLC (MCLEAN VA)
VA
08/16/2012 - 01/02/2015
CAPITAL ONE INVESTMENT SERVICES LLC (MCLEAN VA)
VA
06/20/2011 - 08/02/2012
MML INVESTORS SERVICES, LLC (VIENNA VA)
MD
11/26/2007 - 09/16/2010
SUNTRUST INVESTMENT SERVICES, INC. (WHEATON MD)
MD
11/02/2006 - 09/11/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROCKVILLE MD)
NY
06/20/2002 - 09/12/2006
R. W. PRESSPRICH & CO., INC. (NEW YORK NY)
NY
07/07/1997 - 06/04/2002
REFCO SECURITIES, LLC (NEW YORK NY)
NA
11/17/1993 - 07/14/1997
BERSEC INTERNATIONAL CORPORATION
BOTH
Issued 11/13/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 2/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/17/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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