Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileAdvisors 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.
Guidance on pension options to ensure a secure financial future.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
NY
06/04/2018 - Present
Amerivet Securities, Inc. (New York NY)
NY
12/22/2010 - 01/31/2011
DHF SERVICES LLC (NEW YORK NY)
NY
06/30/2006 - 12/01/2010
DHF SERVICES LLC (NEW YORK NY)
NY
02/19/2004 - 01/31/2006
OASIS TRADING LLC (NEW YORK NY)
NY
06/13/2001 - 05/27/2003
THREE RIVERS SECURITIES LLC (NEW YORK NY)
NY
05/12/1998 - 01/20/2000
NEPTUNE SECURITIES FINANCE, LLC (NEW YORK NY)
NY
12/18/1998 - 09/07/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
06/11/1993 - 12/18/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 8/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/1994
Series 27 - Financial and Operations Principal Examination
BC
Issued 7/20/1993
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/10/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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