Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames J. Maloney is a financial advisor with over 20 years of experience in the industry. James J. Maloney is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and is licensed to provide advisory services in Connecticut, Texas, and several other states. Previously, James J. Maloney worked for Citizens Securities, Inc. in Nashua, New Hampshire and Hudson Heritage Capital Management, Inc. in Croton-on-Hudson, New York. James J. Maloney has a strong background in investment management, financial planning, and retirement planning.
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
CT
07/15/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SOUTHBURY CT)
NH
09/21/2020 - 04/15/2021
CITIZENS SECURITIES, INC. (NASHUA NH)
NY
11/02/2010 - 05/06/2019
HUDSON HERITAGE CAPITAL MANAGEMENT, INC. (CROTON-ON-HUDSON NY)
NY
04/27/2001 - 11/14/2006
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
01/30/1998 - 02/15/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 10/13/2020
Series 66 - Uniform Combined State Law Examination
IA
Issued 3/6/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 2/13/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/11/2002
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/1/2010
Series 7 - General Securities Representative Examination
BC
Issued 2/27/1998
Series 31 - Futures Managed Funds 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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