Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Frick is a financial advisor with Mizuho Securities USA LLC. James has been in the financial services industry since December 9, 1997. James is licensed in 52 states and holds Series 63, Series 24 and Series 7 licenses. James's previous roles include working at KNIGHT LIBERTAS LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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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CA
10/21/2009 - Present
Mizuho Securities USA LLC (SAN FRANCISCO CA)
CT
01/12/2009 - 10/27/2009
KNIGHT LIBERTAS LLC (GREENWICH CT)
CA
12/01/1997 - 01/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
BC
Issued 12/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2022
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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