Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Link is an active investment advisor representative registered with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the industry since August 20, 1992. James is a registered representative in Texas and New Jersey. In addition to their current position at Merrill Lynch, Pierce, Fenner & Smith Inc., James has previously worked at JPMorgan Distribution Services, Inc. and Morgan Stanley & Co. Incorporated.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
01/02/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (JERSEY CITY NJ)
NY
07/23/2009 - 10/14/2010
JPMORGAN DISTRIBUTION SERVICES, INC. (NEW YORK NY)
NY
04/02/2007 - 02/05/2009
MORGAN STANLEY & CO. INCORPORATED (PURCHASE NY)
NY
02/10/1992 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 01/12/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/28/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/02/1996
Series 24 - General Securities Principal Examination
BC
Issued 02/26/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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