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 Varga is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the industry for 30 years and holds multiple licenses including Series 7, Series 10, Series 31, Series 63, and Series 65. James is registered with the Financial Industry Regulatory Authority (FINRA) and holds licenses to practice in multiple states including Illinois, Indiana, and Texas. James is actively involved in the financial industry and has a strong track record of providing investment advice to individuals, corporations, and other institutions. James offers a wide range of services including portfolio management, financial planning, and educational seminars. James is dedicated to helping clients achieve their financial 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IL
02/23/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IA
Issued 02/15/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/25/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/07/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/20/1991
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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