Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Manuel Neissa is a financial professional with over 20 years of experience in the industry. James has held positions at UBS Securities LLC and Donaldson, Lufkin & Jenrette Securities Corporation. Currently, James is registered with Rothschild & Co. US Inc. in New York, NY. James is licensed to sell securities in various states and holds the Series 7, 24, and 63 licenses, as well as the SIE exam.
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
NY
12/08/2016 - Present
Rothschild & Co. US Inc. (NEW YORK NY)
MA
06/13/2001 - 04/24/2012
UBS SECURITIES LLC (BOSTON MA)
NJ
01/31/1995 - 06/15/2001
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 03/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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