Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kostival is a financial advisor with over 26 years of experience in the industry. James is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. James has also been registered with J.P. Morgan Securities LLC, BB&T Investment Services, Inc., Chase Investment Services Corp., Mid Atlantic Capital Corporation, Wachovia Securities, LLC, and Prudential Securities Incorporated. James is registered as an investment advisor in Florida and Texas. James has a Series 7, Series 63, and Series 65 license. James also holds the Securities Industry Essentials (SIE) exam. James specializes in providing portfolio management for individuals and businesses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
11/14/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STUART FL)
FL
06/19/2013 - 01/04/2022
J.P. MORGAN SECURITIES LLC (TEQUESTA FL)
FL
10/03/2012 - 06/13/2013
BB&T INVESTMENT SERVICES, INC. (PALM BEACH FL)
FL
10/01/2012 - 10/02/2012
J.P. MORGAN SECURITIES LLC (FORT PIERCE FL)
FL
08/27/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (VERO BEACH FL)
FL
01/12/2007 - 01/10/2008
MID ATLANTIC CAPITAL CORPORATION (STUART FL)
MO
07/01/2003 - 01/16/2007
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
07/26/1994 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 4/7/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/25/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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