Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Guardino is a registered representative with Castleoak Securities, LP in New York, NY. James has been in the securities industry since 2003. James has Series 7, Series 63, and SIE licenses. James was previously registered with Mizuho Securities USA LLC and Citigroup Global Markets Inc.
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
NY
12/09/2020 - Present
Castleoak Securities, LP (NEW YORK NY)
NY
02/13/2012 - 06/19/2019
MIZUHO SECURITIES USA LLC (NEW YORK NY)
NY
03/12/2003 - 03/05/2012
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 05/17/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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