Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lindsey Alley has been an active member of the financial industry since 1995 and is currently a registered representative with Houlihan Lokey Capital, Inc. James Alley has experience in Investment Banking and has extensive knowledge of the financial services industry. James Alley is registered with the Financial Industry Regulatory Authority (FINRA) and is also registered in 7 states: Arizona, California, Idaho, Nevada, Oregon, Utah and Washington.
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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CA
03/27/1997 - Present
Houlihan Lokey Capital, Inc. (LOS ANGELES CA)
NY
10/19/1993 - 10/05/1995
CHEMICAL SECURITIES, INC. (NEW YORK NY)
BC
Issued 10/20/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/03/2003
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 09/27/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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