Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kevin Floyd is a registered representative with Raymond James & Associates, Inc. in Memphis, TN. James has been in the securities industry since January 16, 1995 and is a licensed agent in Tennessee. He is also a registered investment advisor with the state of Tennessee. James has worked with Morgan Keegan & Company, Inc. in the past. James has passed the Series 7, Series 24, Series 55, Series 57TO and Series 63 exams. He is also a licensed securities trader. James specializes in offering investment advice to individuals, businesses, insurance companies, pension and profit-sharing plans, banking or thrift institutions, charitable organizations, and state or municipal government entities.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TN
02/13/2013 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
01/17/1995 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BC
Issued 12/17/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/16/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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