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. Glass is an active Registered Representative and Investment Advisor Representative. James has been in the industry since 2007, having worked at several firms including J.P. Morgan Securities LLC, Santander Securities LLC, and most recently Merrill Lynch, Pierce, Fenner & Smith Inc. James holds the Series 7, Series 31, Series 63, and Series 65 licenses.
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
NY
01/06/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
08/21/2019 - 01/07/2022
SANTANDER SECURITIES LLC (Staten Island NY)
NY
10/01/2012 - 12/06/2018
J.P. MORGAN SECURITIES LLC (STATEN ISLAND NY)
NY
09/28/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NJ
03/02/2011 - 10/03/2011
MORGAN STANLEY SMITH BARNEY (PARAMUS NJ)
NY
12/11/2008 - 12/21/2010
CHASE INVESTMENT SERVICES CORP. (STATEN ISLAND NY)
NJ
04/30/2008 - 11/17/2008
NATIONAL SECURITIES CORPORATION (OLD BRIDGE NJ)
NJ
06/12/2007 - 04/30/2008
JOSEPH STEVENS & COMPANY, INC. (OLD BRIDGE NJ)
IA
Issued 04/13/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 06/11/2007
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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