Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Malone is a financial professional with over 15 years of experience in the industry. James is currently registered with Foreside Fund Services, LLC and is licensed to provide investment advice in several states. Prior to joining Foreside Fund Services, LLC James worked at NEWBRIDGE SECURITIES CORPORATION and FRANKLIN/TEMPLETON DISTRIBUTORS, INC. James is also licensed as a General Securities Representative (Series 7) and holds the Series 63 and SIE 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.
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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FL
09/07/2011 - Present
Foreside Fund Services, LLC (Plantation FL)
FL
09/16/2009 - 02/03/2011
NEWBRIDGE SECURITIES CORPORATION (FT. LAUDERDALE FL)
CA
03/14/2008 - 04/13/2009
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
MA
06/09/2006 - 10/01/2007
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
BC
Issued 01/04/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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