Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lee Brauch is a financial advisor with Fidelity Brokerage Services LLC. James has been in the financial industry since December 17, 2012 and is registered with the following states: Kentucky, Massachusetts, Texas, and Utah. James holds FINRA Series 7, 9, 10, and 63 licenses. He also holds the Securities Industry Essentials (SIE) Exam.
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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KY
12/18/2012 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
BC
Issued 10/10/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/23/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/2012
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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