Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Guckert is a financial professional with over 25 years of experience in the industry. James has a wide range of experience and expertise, including working for firms like Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wave Securities, LLC, and Goldman Sachs & Co. LLC. James currently holds registrations in all 50 states and the District of Columbia, and he is a Series 3, 7, 10, 24, 55, 57TO and SIE licensed professional. James has been with Goldman Sachs & Co. LLC since 2007, and he has been involved in various aspects of the financial services industry, including securities trading, portfolio management, and financial planning. James's specializations include securities, commodities, and investment banking.
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.
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.
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.
Execution charges, custody, management fee
1
2
NY
04/24/2007 - Present
Goldman Sachs & Co. LLC (NEW YORK NY)
NY
03/11/2003 - 04/24/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/07/2006 - 07/07/2006
WAVE SECURITIES, LLC (NEW YORK NY)
NY
09/28/2001 - 03/11/2003
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
11/28/1997 - 09/14/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/25/1996 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 12/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/14/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/24/1996
Series 7 - General Securities Representative Examination
BC
Issued 12/20/1994
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Guckert is the right advisor for you? Invested Better is here to help.
