Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Matthew Serkes is an Investment Advisor Representative with Hudson Valley Investment Advisors, Inc. based in Goshen, New York. James has over 20 years of experience in the financial services industry. Prior to joining Hudson Valley Investment Advisors, Inc., James worked at Jefferies LLC, Morgan Stanley & Co. LLC, Citigroup Global Markets Inc., Wachovia Capital Markets, LLC, and Wachovia Securities, LLC. James holds a Series 7, Series 63, and Series 65 license. James is registered with the state of New York as an Investment Advisor Representative. James also owns Leo's Tavern in Garden City, 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.
Strategic management for diversified investment portfolios.
Investment and 1031 exchange consulting services
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.
Plan assets under advisement
1
2
NY
03/18/2022 - Present
Hudson Valley Investment Advisors, Inc. (GOSHEN NY)
NY
04/30/2012 - 07/22/2020
JEFFERIES LLC (NEW YORK NY)
NY
12/02/2009 - 04/16/2012
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
06/30/2005 - 12/10/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NC
07/01/2003 - 06/07/2005
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
10/25/2000 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
IA
Issued 03/18/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/18/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2000
Series 7 - General Securities Representative Examination
Active
Inactive
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