Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Pryor is a registered representative with Raymond James & Associates, Inc. located in Locust Valley, NY. James has over 6 years of experience in the financial services industry. James has been registered with the Securities and Exchange Commission (SEC) since 2018. Prior to joining Raymond James & Associates, Inc., James was employed at Private Client Services, LLC in Great Neck, NY, UBS Financial Services Inc. in Garden City, NY and AXA Advisors, LLC in Woodbury, NY. James holds the Series 66, Series 7 and SIE licenses.
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
NY
12/08/2022 - Present
Raymond James & Associates, Inc. (LOCUST VALLEY NY)
NY
08/31/2021 - 12/05/2022
PRIVATE CLIENT SERVICES, LLC (GREAT NECK NY)
NY
12/03/2018 - 01/30/2020
UBS FINANCIAL SERVICES INC. (GARDEN CITY NY)
NY
01/02/2018 - 04/11/2018
AXA ADVISORS, LLC (WOODBURY NY)
BOTH
Issued 03/14/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/11/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/27/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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