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 Brown is a financial advisor with over 25 years of experience in the financial services industry. James has a Series 7, Series 63, Series 24, Series 4, Series 53, Series 55, Series 57, Series 79, Series 99, and SIE licenses. James is currently registered with Raymond James & Associates, Inc. and has been with them since 2013. Prior to that, James was a financial advisor with MORGAN KEEGAN & COMPANY, INC., PFIC SECURITIES CORPORATION, and FLEET SECURITIES, INC. James provides a range of financial services including financial planning, portfolio management, and pension consulting. James is a highly experienced and qualified financial advisor who is committed to helping clients achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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.
1
2
TN
02/13/2013 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
09/27/2007 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
TN
03/20/1998 - 06/19/2007
PFIC SECURITIES CORPORATION (FRANKLIN TN)
TX
12/09/1996 - 03/09/1998
FLEET SECURITIES, INC. (DALLAS TX)
IA
Issued 04/20/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/05/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/01/2000
Series 4 - Registered Options Principal Examination
BC
Issued 06/17/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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