Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Ertmann is a financial professional with over 25 years of experience in the industry. He has held positions at several leading financial institutions including Goldman, Sachs & Co., Bear, Stearns & Co. Inc., Lehman Brothers Inc., and Barclays Capital Inc. James is currently a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. He serves a wide range of clients including individuals, high-net-worth individuals, corporations, and charitable organizations. James specializes in portfolio management, financial planning, and pension consulting. He is licensed to provide investment advisory services in multiple states.
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
IL
07/22/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
09/22/2008 - 08/08/2015
BARCLAYS CAPITAL INC. (CHICAGO IL)
IL
05/18/2004 - 09/22/2008
LEHMAN BROTHERS INC. (CHICAGO IL)
NY
05/09/2001 - 05/25/2004
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
06/06/1996 - 05/23/2001
GOLDMAN, SACHS & CO. (NEW YORK NY)
IA
Issued 12/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1996
Series 3 - National Commodity Futures Examination
BC
Issued 06/05/1996
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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