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 Rattigan is a financial professional with over 20 years of experience in the industry. He is currently registered with AMG Distributors, Inc. and has previously held positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lehman Brothers Inc., and Dreyfus Service Corporation. His areas of expertise include securities and investment company products. James John Rattigan holds several licenses and designations, including Series 7, 6, 24, 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.
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.
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2
CT
09/14/2022 - Present
AMG Distributors, Inc. (STAMFORD CT)
CT
09/28/2009 - 08/31/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STAMFORD CT)
NY
04/20/2005 - 06/06/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
08/24/1998 - 04/15/2005
DREYFUS SERVICE CORPORATION (NEW YORK NY)
IA
Issued 01/07/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2021
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2005
Series 7 - General Securities Representative Examination
BC
Issued 08/21/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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