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. Yoo is a financial professional with over a decade of experience in the securities industry. James has held positions at several prominent firms including Piper Sandler & Co., Mizuho Securities USA LLC, and Instinet, LLC. James currently holds a Series 7, Series 55, Series 57TO and Series 63 license. James is registered with Oppenheimer & Co. Inc. and is based in New York.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NY
02/22/2023 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
07/13/2021 - 02/22/2023
PIPER SANDLER & CO. (NEW YORK NY)
NY
09/17/2019 - 06/28/2021
MIZUHO SECURITIES USA LLC (NEW YORK NY)
NY
06/30/2015 - 09/19/2019
INSTINET, LLC (NEW YORK NY)
NY
12/12/2014 - 06/29/2015
H.C.WAINWRIGHT & CO., LLC (NEW YORK NY)
NY
10/23/2013 - 12/05/2014
REVERE SECURITIES LLC (NEW YORK NY)
NY
11/22/2012 - 10/22/2013
G-2 TRADING,LLC (NEW YORK NY)
NY
09/11/1998 - 08/25/2000
CARLIN EQUITIES CORP. (NEW YORK NY)
BC
Issued 07/07/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/2015
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/20/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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