Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Grossman is a financial advisor with Fidelity Brokerage Services LLC. James has been in the financial services industry since January 4, 1992. James holds the Series 7, 8, 9, 10, 63 and 65 licenses and the SIE exam. James is registered to provide investment advice in all 50 states. James's previous experience includes positions at Charles Schwab & Co., Inc. and Lehman Brothers Inc.
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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2
NC
05/28/2024 - Present
Fidelity Brokerage Services LLC (DURHAM NC)
FL
05/22/1992 - 01/10/2024
CHARLES SCHWAB & CO., INC. (Orlando FL)
NY
07/23/1991 - 04/23/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 01/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/26/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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