Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Sampson is a financial professional with over 30 years of experience in the industry. James is currently a registered representative with Piper Sandler & Co., a firm that specializes in providing investment banking, capital markets, and asset management services. James is a Series 7, 6, 10, 24, 52, 53, 63, and SIE licensed professional. James has previously held positions with MUNIAXIS LEBENTHAL LLC, LEBENTHAL & CO., LLC, ALEXANDRA & JAMES CO., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, ADVEST, INC., STATE STREET CAPITAL MARKETS, LLC, WACHOVIA SECURITIES, INC., A. F. BEST SECURITIES, INC., PRAGER, MCCARTHY & SEALY, DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION, AMERICAN SECURITIES CORPORATION, LEBENTHAL & CO., INC., and FIRST INVESTORS CORPORATION.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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
CT
12/15/2014 - Present
Piper Sandler & Co. (Greenwich CT)
NY
09/03/2013 - 08/11/2014
MUNIAXIS LEBENTHAL LLC (New York NY)
NY
02/05/2008 - 08/11/2014
LEBENTHAL & CO., LLC (New York NY)
NY
01/01/2007 - 03/04/2008
ALEXANDRA & JAMES CO. (NEW YORK NY)
NY
03/08/2006 - 06/06/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/03/2002 - 03/08/2006
ADVEST, INC. (NEW YORK NY)
MA
12/01/2000 - 03/01/2002
STATE STREET CAPITAL MARKETS, LLC (BOSTON MA)
NC
04/02/1999 - 11/06/2000
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
FL
10/31/1995 - 02/05/1999
A. F. BEST SECURITIES, INC. (CORAL SPRINGS FL)
CA
05/01/1995 - 10/31/1995
PRAGER, MCCARTHY & SEALY (SAN FRANCISCO CA)
NJ
08/12/1986 - 02/28/1995
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
03/18/1985 - 07/08/1986
AMERICAN SECURITIES CORPORATION
NA
03/05/1984 - 03/29/1985
LEBENTHAL & CO., INC.
NA
03/09/1983 - 03/09/1984
FIRST INVESTORS CORPORATION
BC
Issued 07/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/26/2007
Series 24 - General Securities Principal Examination
BC
Issued 07/20/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/25/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/27/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1984
Series 7 - General Securities Representative Examination
BC
Issued 03/08/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Sampson is the right advisor for you? Invested Better is here to help.
