Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kiely is a financial advisor with over 30 years of experience in the industry. James is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., where James has been employed since April 2009. Prior to joining Merrill Lynch, James worked at Wachovia Securities, LLC, First Albany Corporation, Barrington Capital Group, L.P., Oppenheimer & Co., Inc., and Ladenburg, Thalmann & Co., Inc.. James offers a variety of financial services including portfolio management, pension consulting, and educational seminars.
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
NJ
04/22/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FLORHAM PARK NJ)
NJ
08/05/2000 - 04/13/2009
WACHOVIA SECURITIES, LLC (FLORHAM PARK NJ)
NY
04/26/1995 - 08/05/2000
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
09/21/1992 - 05/02/1995
BARINGTON CAPITAL GROUP, L.P. (NEW YORK NY)
NY
06/26/1989 - 10/15/1992
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
12/18/1984 - 07/13/1989
LADENBURG, THALMANN & CO., INC. (NEW YORK NY)
NA
06/22/1983 - 10/22/1984
FIRST JERSEY SECURITIES, INC.
IA
Issued 12/13/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/13/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/25/1992
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/18/1983
Series 7 - General Securities 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
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