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 McAuliffe is a financial professional with over 30 years of experience in the industry. James has held positions at Morgan Stanley & Co. LLC and Bear, Stearns & Co. Inc. James is currently registered with Mufg Securities Americas Inc. as a General Securities Representative and holds several licenses including Series 7, Series 16, Series 24 and SIE. James is registered in all 50 states and the District of Columbia.
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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NY
07/09/2024 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
NY
09/19/2000 - 12/20/2022
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
07/10/1989 - 10/02/1997
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 09/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/27/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/23/2001
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 07/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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