Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mallinson is an investment advisor representative with Alliancebernstein LP. James has been in the financial industry since 2008. James holds the Series 6, 7, 9, 10, 31, 63, 65, and SIE licenses. James is registered as an investment advisor representative in Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Iowa, Maine, Maryland, Massachusetts, Michigan, Mississippi, Missouri, Montana, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, West Virginia, and Wisconsin. James also holds the designation Certified Financial Planner.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
DC
07/13/2015 - Present
Alliancebernstein LP (WASHINGTON DC)
VA
12/18/2008 - 06/23/2011
SIGNATOR INVESTORS, INC. (VIENNA VA)
IA
Issued 09/02/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/12/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/10/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/20/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 09/28/2011
Series 7 - General Securities Representative Examination
BC
Issued 12/17/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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