Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Baglini is an investment professional with over 15 years of experience. James is currently a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, James worked for a number of other firms including Equitable Advisors, LLC, NYLIFE Securities LLC, Santander Securities LLC, Infinex Investments, Inc., Ameriprise Financial Services, Inc., Ameriprise Advisor Services, Inc., Citigroup Global Markets Inc. and Legg Mason Wood Walker, Incorporated. James has a strong background in the financial services industry and is committed to providing clients with the highest level of service.
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
MA
11/01/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
10/11/2019 - 06/07/2022
EQUITABLE ADVISORS, LLC (WELLESLEY MA)
MA
06/10/2016 - 10/17/2019
NYLIFE SECURITIES LLC (WALTHAM MA)
MA
06/24/2015 - 06/01/2016
SANTANDER SECURITIES LLC (EAST BOSTON MA)
MA
09/03/2014 - 06/19/2015
INFINEX INVESTMENTS, INC. (LEXINGTON MA)
MA
10/05/2009 - 09/19/2012
AMERIPRISE FINANCIAL SERVICES, INC. (BOSTON MA)
MA
01/08/2008 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (BOSTON MA)
MA
02/21/2006 - 01/24/2008
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
MD
06/30/2004 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 06/01/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2004
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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