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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames John Tricolli is a financial advisor associated with Raymond James & Associates, Inc. James has a strong track record in the financial industry, having been active in the field since 1994. James is dedicated to providing comprehensive financial advice and services to individuals, families, and businesses. James has extensive experience in various financial markets and has obtained multiple licenses and certifications, including the Series 7, 52, 53, 10, 24, 50, 79TO, and SIE. James is committed to helping clients achieve their financial goals through personalized financial plans and investment strategies.
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
PA
02/02/2021 - Present
Raymond James & Associates, Inc. (Conshohocken PA)
PA
01/02/2002 - 08/13/2020
RBC CAPITAL MARKETS, LLC (West Conshohocken PA)
MA
04/19/1999 - 01/14/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NA
03/25/1999 - 04/16/1999
TUCKER ANTHONY INCORPORATED
NC
12/13/1993 - 04/16/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
BC
Issued 04/30/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/29/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/31/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/13/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/24/2007
Series 7 - General Securities Representative Examination
BC
Issued 07/01/1993
Series 52 - Municipal Securities 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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