Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames J Dowd has been working in the financial industry since 1983. James is currently a Registered Representative with Raymond James & Associates, Inc. Prior to joining Raymond James, James worked for Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Wachovia Securities, LLC, Prudential Securities Incorporated, E. F. Hutton & Company Inc and First Investors Corporation. James has a wide range of experience in the industry and is well-versed in providing financial advice to individuals, businesses, and institutions.
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.
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.
Please see note in schedule d - miscellaneous
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
MA
07/28/2016 - Present
Raymond James & Associates, Inc. (SPRINGFIELD MA)
MA
06/01/2009 - 02/07/2012
MORGAN STANLEY SMITH BARNEY (SPRINGFIELD MA)
MA
04/13/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SPRINGFIELD MA)
MA
07/01/2003 - 04/16/2007
WACHOVIA SECURITIES, LLC (SPRINGFIELD MA)
NY
01/29/1988 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/11/1984 - 05/13/1988
E. F. HUTTON & COMPANY INC
NA
07/18/1983 - 05/07/1984
FIRST INVESTORS CORPORATION
IA
Issued 09/10/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
BC
Issued 07/15/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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