Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Nolan is a financial advisor with Mariner Group Capital Markets, LLC. James has over 10 years of experience in the financial services industry. James holds Series 7, 6, 63, and 65 licenses. James is a registered representative with FINRA.
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.
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2
NY
07/30/2024 - Present
Mariner Group Capital Markets, LLC (HARRISON NY)
CO
04/01/2013 - 06/03/2019
ALPS DISTRIBUTORS, INC. (DENVER CO)
IA
Issued 08/12/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/08/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/2015
Series 7 - General Securities Representative Examination
BC
Issued 03/30/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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