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 Keefe iii has been in the securities industry since April 22, 2009. James is currently registered with Avatar Securities, LLC, and is a Series 7, 55, 57TO, and SIE licensed professional. James previously held positions at UBS Financial Services Inc. and Assent LLC. James's current employment with Avatar Securities, LLC began on May 3, 2011. James is licensed in New York.
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
05/03/2011 - Present
Avatar Securities, LLC (NEW YORK NY)
NY
09/03/2008 - 06/17/2010
ASSENT LLC (NEW YORK NY)
NY
06/26/2006 - 09/21/2006
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
BC
Issued 12/12/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/23/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
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