Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Heron Collins has been in the financial services industry since 1983. James is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as an Investment Advisor Representative. James has held previous registrations with several other firms, including Hibernia Investment Securities Inc., ProFinancial, Inc., Legg Mason Wood Walker, Incorporated, Howard, Weil, Labouisse, Friedrichs Inc., Collins-Ogden, Inc., Harger, Aparicio & Co., Inc., Markham Investments, Inc., Equitivest Securities Inc, Shelter Securities Corporation and Combined Equity Securities, Inc. James has passed the Series 7, 31, 39, 63 and 65 examinations. James is a member of the advisory board of St. James Episcopal Church Vestry.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
LA
09/01/1998 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BATON ROUGE LA)
LA
12/04/1992 - 09/28/1998
HIBERNIA INVESTMENT SECURITIES INC. (NEW ORLEANS LA)
LA
09/08/1992 - 12/05/1992
PROFINANCIAL, INC. (BATON ROUGE LA)
MD
10/17/1988 - 08/24/1990
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NA
06/07/1988 - 10/17/1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
NA
08/15/1984 - 07/15/1988
COLLINS-OGDEN, INC.
NA
05/14/1982 - 03/25/1985
HARGER, APARICIO & CO., INC.
NA
02/17/1984 - 08/15/1984
MARKHAM INVESTMENTS, INC.
NA
09/13/1983 - 04/27/1984
EQUITIVEST SECURITIES INC
NA
02/04/1982 - 03/31/1982
SHELTER SECURITIES CORPORATION
NA
11/23/1980 - 02/02/1982
COMBINED EQUITY SECURITIES, INC.
IA
Issued 12/10/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/10/1984
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 11/15/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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