Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames John Mcintosh has been in the financial industry since February 18, 2002 and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Ridgefield, CT. James John Mcintosh is also registered in 23 other states and is licensed to sell securities in California, Connecticut, Florida, Georgia, Hawaii, Maryland, Massachusetts, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Texas, Utah, Vermont, Virginia, Washington, and Wyoming. Prior to working with Merrill Lynch, Pierce, Fenner & Smith Incorporated, James John Mcintosh worked with UBS Financial Services Inc. in Stamford, CT and Citigroup Global Markets Inc. in New York, NY.
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
CT
12/23/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RIDGEFIELD CT)
CT
03/18/2009 - 12/02/2009
UBS FINANCIAL SERVICES INC. (STAMFORD CT)
CT
02/13/2006 - 12/31/2008
UBS FINANCIAL SERVICES INC. (STAMFORD CT)
NY
07/27/2004 - 02/09/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
12/11/2003 - 07/16/2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
CT
11/21/2000 - 12/17/2003
AMERICAN SKANDIA MARKETING, INC. (SHELTON CT)
BOTH
Issued 10/19/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/27/2007
Series 7 - General Securities Representative Examination
BC
Issued 11/20/2000
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
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