Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Jones is a financial advisor registered with Hilltop Securities Inc. James has been in the industry since 1975. James has several years of experience with different firms, including Prudential Securities Incorporated, Smith Barney Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. James provides a range of financial planning services and manages portfolios for individuals. James is currently registered with Hilltop Securities Inc. and has held the Series 65 and Series 63 licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your 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.
12b-1 fees
1
2
TX
08/30/2000 - Present
Hilltop Securities Inc. (Dallas TX)
NY
01/01/1995 - 09/15/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 12/20/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/20/1985 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
04/16/1984 - 06/26/1987
WESTPORT FINANCIAL GROUP, INC.
NA
09/25/1984 - 01/09/1985
CONTISECURITIES, INC.
NA
04/29/1983 - 05/03/1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
NA
05/30/1974 - 11/19/1981
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
IA
Issued 07/22/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/11/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2021
Series 30 - NFA Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/1985
PC - AMEX Put and Call Exam
BC
Issued 05/25/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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