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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames L. Weinstock is an investment advisor representative with RBC Capital Markets, LLC. James has been in the industry since 1981. James holds Series 65, 63, 9, 10, 7 and SIE licenses and is currently registered in Connecticut, Texas and several other states. James has previously worked at Janney Montgomery Scott LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, ADVEST, INC., BT ALEX. BROWN INCORPORATED, ALEX. BROWN & SONS INCORPORATED, PAINEWEBBER INCORPORATED, GRUNTAL & CO. INCORPORATED, and HERZFELD & STERN INC..
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CT
09/11/2024 - Present
RBC Capital Markets, LLC (DARIEN CT)
CT
03/08/2006 - 07/31/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTPORT CT)
CT
09/25/1998 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
MD
09/01/1997 - 10/09/1998
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
09/09/1996 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NJ
08/26/1992 - 09/19/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
10/01/1985 - 08/18/1992
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NA
06/23/1981 - 10/01/1985
HERZFELD & STERN INC.
IA
Issued 04/22/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/28/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/19/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1981
Series 5 - Interest Rate Options Examination
BC
Issued 06/20/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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