Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Jason Stokes is a financial advisor with over 20 years of experience in the industry. James Jason Stokes is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, James Jason Stokes was registered with American General Securities Incorporated, Rydex Distributors, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Waddell & Reed, Inc. James Jason Stokes has a broad range of experience in providing financial advice and investment management services to a variety of clients, including individuals, high-net-worth individuals, corporations, and institutions. James Jason Stokes holds a number of licenses and certifications, including Series 6, 7, 9, 10, 26, 63, and 65.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
SC
01/28/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SPARTANBURG SC)
AZ
03/10/2003 - 01/20/2004
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
MD
10/17/2001 - 01/09/2002
RYDEX DISTRIBUTORS, INC. (ROCKVILLE MD)
NY
11/29/1996 - 10/19/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
KS
01/23/1996 - 06/18/1996
WADDELL & REED, INC. (OVERLAND PARK KS)
IA
Issued 01/13/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/04/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/20/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/1999
Series 7 - General Securities Representative Examination
BC
Issued 01/22/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Stokes is the right advisor for you? Invested Better is here to help.
