Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames M Cadet has been in the financial services industry for over 20 years and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. James has held prior roles at UBS FINANCIAL SERVICES INC. and MORGAN STANLEY & CO., INCORPORATED. James holds licenses for both Series 7 and 66 securities, Series 3 and 31 futures, and Series 9 and 10 general securities sales supervisor. James is registered in 55 states and jurisdictions to offer investment advice.
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
12/17/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PARAMUS NJ)
NJ
04/09/2008 - 09/19/2019
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
04/02/2007 - 04/10/2008
MORGAN STANLEY & CO., INCORPORATED (PURCHASE NY)
NY
10/25/2002 - 04/02/2007
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 12/13/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/08/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/03/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2013
Series 3 - National Commodity Futures Examination
BC
Issued 11/12/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 10/24/2002
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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