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 Klem is a registered representative of Citigroup Global Markets Inc. James has over 20 years of experience in the securities industry. James Joseph Klem is also an investment advisor representative of Citigroup Global Markets Inc. James is registered with the state of California and other states. James Joseph Klem has held prior registrations with M&T Securities, Inc., Capital One Investment Services LLC, LPL Financial LLC, IFMG Securities, Inc., Securities Service Network, Inc., BNY Investment Center Inc., Securities America, Inc., Pacific Select Distributors, Inc., and A. G. Edwards & Sons, 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
CA
09/22/2017 - Present
Citigroup Global Markets Inc. (NEWPORT CA)
NJ
05/02/2013 - 09/22/2017
M&T SECURITIES, INC. (TOMS RIVER NJ)
NJ
12/20/2011 - 04/23/2013
CAPITAL ONE INVESTMENT SERVICES LLC (FREEHOLD NJ)
NJ
05/27/2008 - 12/21/2011
LPL FINANCIAL LLC (TOMS RIVER NJ)
NJ
12/10/2007 - 05/27/2008
IFMG SECURITIES, INC. (TOMS RIVER NJ)
NJ
11/11/2005 - 12/03/2007
SECURITIES SERVICE NETWORK, INC. (OCEANPORT NJ)
NY
09/06/2005 - 11/17/2005
BNY INVESTMENT CENTER INC. (NEW YORK NY)
NE
08/17/2005 - 09/01/2005
SECURITIES AMERICA, INC. (LAVISTA NE)
NY
09/23/2003 - 08/17/2005
BNY INVESTMENT CENTER INC. (NEW YORK NY)
CA
06/26/2001 - 06/13/2003
PACIFIC SELECT DISTRIBUTORS, INC. (NEWPORT BEACH CA)
MO
02/06/1998 - 05/23/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 12/30/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/06/2016
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1997
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
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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