Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lawrence Frischling is a financial advisor associated with Northern Edge Capital Advisors LLC, based in New York, NY. James has been in the industry since April 14, 1997 and is registered with the state of New York. James has experience with a variety of financial firms including Old City Securities LLC, NewOak Capital Markets LLC, Fortis Securities LLC, SG Americas Securities, LLC, SG Cowen Securities Corporation, Paine Webber Incorporated, Santander Investment Securities Inc., ABN AMRO Incorporated, Bear Stearns & Co. Inc., and UBS Securities LLC. James has passed the Series 7, Series 24, Series 63, Series 79TO, Series 99TO, and the SIE exam. James is currently registered with FINRA.
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.
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.
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NY
08/24/2021 - Present
Northern Edge Capital Advisors LLC (NEW YORK NY)
NY
05/14/2019 - 01/28/2021
OLD CITY SECURITIES LLC (NEW YORK NY)
NY
08/05/2009 - 05/09/2019
NEWOAK CAPITAL MARKETS LLC (NEW YORK NY)
NY
08/04/2005 - 01/02/2008
FORTIS SECURITIES LLC (NEW YORK NY)
NY
04/26/2004 - 07/27/2005
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
01/05/2001 - 04/26/2004
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NJ
03/08/1999 - 11/29/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/01/1998 - 03/17/1999
SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)
CT
09/17/1997 - 06/23/1998
ABN AMRO INCORPORATED (STAMFORD CT)
NY
05/09/1997 - 09/25/1997
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
12/13/1994 - 04/25/1997
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 02/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/30/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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