Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mcdowell Brady is a financial advisor with over 29 years of experience in the securities industry. James is currently registered with Capital One Securities, Inc. and is located in the New Orleans branch. James has held previous positions at Legg Mason Wood Walker, Incorporated and American Express Financial Advisors Inc. James is a Series 7, 9, 63, and SIE licensed professional. James has a strong track record of providing financial guidance to individuals and families.
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.
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.
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LA
07/28/2004 - Present
Capital ONE Securities, Inc. (NEW ORLEANS LA)
MD
05/04/1994 - 07/27/2004
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MN
11/09/1993 - 05/12/1994
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/09/1993 - 05/12/1994
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 06/24/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/10/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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