Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames L. Hoerth is a financial advisor with J.P. Morgan Securities LLC. James has been in the industry since 2008 and has experience with a variety of firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, TIAA-CREF Individual & Institutional Services, LLC, and Capital One Investing, LLC. James is registered to provide investment advice in all 50 states. James specializes in providing financial planning, portfolio management, and selection of other advisors 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
12/17/2019 - Present
J.p. Morgan Securities LLC (Plano TX)
TX
05/12/2017 - 02/12/2019
CAPITAL ONE INVESTING, LLC (Plano TX)
TX
09/21/2016 - 04/18/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
12/06/2010 - 08/30/2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (LEWISVILLE TX)
TX
11/28/2007 - 03/18/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DALLAS TX)
TX
10/27/2006 - 11/06/2007
CHASE INVESTMENT SERVICES CORP. (DALLAS TX)
TX
01/18/2006 - 08/29/2006
AMERIPRISE FINANCIAL SERVICES, INC. (RICHARDSON TX)
BOTH
Issued 06/01/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/2006
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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