Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moraller is a registered representative and principal at Citigroup Global Markets Inc. James has been in the financial industry since 1994. James has a broad range of experience in the securities industry, including experience at Salomon Smith Barney Inc., Citigroup Investment Services and National Discount Brokers. James is a Series 7, 10, 24, 63, 99TO and SIE licensed representative. James holds several specializations including Investment Company/Mutual Funds, Equity, Fixed Income, Options, 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.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
NY
05/29/2007 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
09/23/1999 - 05/29/2007
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NY
04/22/1998 - 10/15/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NE
03/24/1995 - 01/05/1998
NATIONAL DISCOUNT BROKERS (OMAHA NE)
NY
03/22/1994 - 12/21/1994
AMERICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 04/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/10/1997
Series 4 - Registered Options Principal Examination
BC
Issued 02/12/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1994
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.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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