Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Henry Beam is a registered representative and investment advisor representative who has been working in the financial services industry since September 8, 2007. James is currently affiliated with TD Private Client Wealth LLC, which has offices in New York, NY and Marlton, NJ. Before that, James was affiliated with PNC Capital Markets LLC, Charles Schwab & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Morgan Stanley DW Inc.. James holds FINRA Series 7, 24, 31, and 66 licenses. James is licensed in 17 states. James also holds the Securities Industry Essentials (SIE) designation.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
10/09/2015 - Present
TD Private Client Wealth LLC (NEW YORK NY)
PA
06/20/2007 - 12/31/2008
PNC CAPITAL MARKETS LLC (PITTSBURGH PA)
NJ
08/09/2004 - 05/15/2006
CHARLES SCHWAB & CO., INC. (MOORESTOWN NJ)
NY
04/23/2002 - 07/14/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/31/2001 - 03/04/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 01/16/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/21/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/23/2013
Series 7 - General Securities Representative Examination
BC
Issued 06/28/2001
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
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