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 Fertitta has over 20 years of experience in the financial services industry. James Fertitta is currently registered with Wells Fargo Securities, LLC. Previously, James Fertitta was employed at GOLDMAN SACHS & CO. LLC, UBS FINANCIAL SERVICES INC., ICAPITAL MARKETS LLC, and M.S. FARRELL & COMPANY, INC. James Fertitta holds a Series 63, Series 26, Series 39, Series 14, Series 4, Series 24, Series 6TO, Series 99TO, Series 52TO, Series 82TO, Series 57TO, Series 22TO, SIE, Series 55, and Series 7 license. James Fertitta is licensed in Utah.
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.
1
2
NY
06/10/2020 - Present
Wells Fargo Securities, LLC (New York NY)
UT
11/10/2005 - 06/09/2020
GOLDMAN SACHS & CO. LLC (SALT LAKE CITY UT)
NJ
01/02/2004 - 08/17/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NE
11/23/1998 - 10/14/2002
ICAPITAL MARKETS LLC (OMAHA NE)
NY
07/22/1998 - 10/26/1998
M.S. FARRELL & COMPANY, INC. (SYOSSET NY)
BC
Issued 08/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 03/24/2000
Series 4 - Registered Options Principal Examination
BC
Issued 06/07/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/21/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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