Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Egan is a financial professional with over 20 years of experience in the financial industry. James is currently registered with ADP Broker-Dealer, Inc. and is licensed to provide investment advice and securities transactions in all 50 states. James has held previous roles with Fidelity Investments Institutional Services Company, Inc. and Scudder Investor Services, Inc. James holds the Series 6, Series 63 and SIE licenses and is committed to providing his clients with the highest level of service and expertise.
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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KY
06/15/2018 - Present
ADP Broker-Dealer, Inc. (LOUISVILLE KY)
RI
12/15/1999 - 11/29/2001
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
NY
08/29/1991 - 01/21/1998
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
BC
Issued 06/29/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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