Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Martin is a financial professional with over 28 years of experience in the industry. James currently works at Piper Sandler & Co. where James has been employed since August 2003. James has held previous positions at RBC DAIN RAUSCHER INC., BT ALEX. BROWN INCORPORATED and ALEX. BROWN & SONS INCORPORATED. James has expertise in several areas including investment banking and securities trading.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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
MN
08/06/2003 - Present
Piper Sandler & Co. (MINNEAPOLIS MN)
NY
09/09/1999 - 07/11/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
MD
09/01/1997 - 09/01/1999
BT ALEX. BROWN INCORPORATED (BALTIMORE MD)
NA
04/05/1994 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/25/1998
Series 14 - Compliance Officer Examination
BC
Issued 01/16/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/19/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/04/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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