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 Rees is a financial professional with over 17 years of experience in the financial services industry. Currently, James is registered with PNC Capital Markets LLC. Prior to this, James was employed at Credit Agricole Securities (USA) Inc., Ernst & Young Corporate Finance LLC, Salomon Smith Barney Inc., and Citicorp Securities, Inc.. James holds the Series 7, Series 24, Series 52TO, and Series 63 securities licenses. James is registered in the state of Texas.
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
TX
06/16/2014 - Present
PNC Capital Markets LLC (Houston TX)
TX
06/22/2011 - 06/06/2012
CREDIT AGRICOLE SECURITIES (USA) INC. (HOUSTON TX)
IL
02/07/2003 - 04/29/2003
ERNST & YOUNG CORPORATE FINANCE LLC (CHICAGO IL)
NY
12/18/1998 - 02/07/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
08/26/1994 - 12/18/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 08/31/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/1997
Series 24 - General Securities Principal Examination
BC
Issued 01/31/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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