Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Law is a financial professional with over 20 years of experience in the financial services industry. James is currently a registered representative with Stephens, a firm with a strong track record of providing investment advice and wealth management services. Prior to joining Stephens, James worked for Lazard Capital Markets LLC, Oppenheimer & Co. Inc., and CIBC World Markets Corp. James holds a broad range of licenses and certifications, including Series 7, 24, 55, 57TO, and SIE. James's specializations include investment advisory services, portfolio management for individuals and businesses, financial planning, and pension consulting.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
10/25/2013 - Present
Stephens (NEW YORK NY)
NY
06/02/2008 - 10/30/2013
LAZARD CAPITAL MARKETS LLC (NEW YORK NY)
NY
01/14/2008 - 05/20/2008
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
12/19/2000 - 01/14/2008
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BC
Issued 03/02/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/2024
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 02/16/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/18/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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