Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leonard Kochman is a registered representative with Ba Securities, LLC. James holds FINRA Series 7, 79TO, 24, and 63 licenses. James has been in the securities industry since 2001 and has experience working with Duff & Phelps Securities LLC, Pagemill Partners, LLC, SVB Alliant, and SVB Securities.
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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2
CA
06/02/2017 - Present
BA Securities, LLC (MENLO PARK CA)
CA
02/08/2012 - 06/05/2017
DUFF & PHELPS SECURITIES LLC (EAST PALO ALTO CA)
CA
02/22/2005 - 12/10/2013
PAGEMILL PARTNERS, LLC (EAST PALO ALTO CA)
CA
09/30/2002 - 03/11/2005
SVB ALLIANT (SANTA CLARA CA)
CA
09/24/2001 - 12/04/2002
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK (SAN FRANCISCO CA)
BC
Issued 10/11/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/2002
Series 24 - General Securities Principal 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 09/21/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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