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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Matthew Sykes is a financial advisor who has been working in the industry since January 11, 2003. Currently, James Matthew Sykes is registered with Morgan Stanley. James Matthew Sykes has held previous registrations with Tullett Prebon Financial Services LLC, Prebon Financial Products Inc., Trautman Wasserman & Company, Inc. and Donaldson, Lufkin & Jenrette Securities Corporation. James Matthew Sykes has a broad range of experience in the financial services industry, including securities trading, investment advisory, and financial planning. James Matthew Sykes is dedicated to providing his clients with personalized financial advice and investment solutions that meet their unique needs and goals.
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.
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.
Strategic management for diversified investment portfolios.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CT
04/06/2020 - Present
Morgan Stanley (Greenwich CT)
NY
09/04/2009 - 05/02/2016
TULLETT PREBON FINANCIAL SERVICES LLC (NEW YORK NY)
NJ
08/19/2004 - 01/06/2010
PREBON FINANCIAL PRODUCTS INC. (JERSEY CITY NJ)
NY
09/30/2002 - 12/03/2003
TRAUTMAN WASSERMAN & COMPANY, INC. (NEW YORK NY)
NJ
02/21/2000 - 07/09/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 06/04/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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