Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Kais is a financial professional with over 18 years of experience in the financial services industry. James currently works as a Registered Representative at Equitable Advisors, LLC and Equitable Distributors, LLC. Previously, James has worked at Ameritas Investment Company, LLC, Transamerica Capital, Inc., Transamerica Investors Securities Corporation, Pruco Securities Corporation, and Prudential Investment Management Services LLC. James holds FINRA Series 6, 26, 63, and 99TO licenses, and has been registered with the state of Florida, New York, and North Carolina.
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.
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
04/16/2024 - Present
Equitable Advisors, LLC (NEW YORK NY)
NE
06/12/2018 - 03/29/2024
AMERITAS INVESTMENT COMPANY, LLC (LINCOLN NE)
FL
01/04/2017 - 05/08/2018
TRANSAMERICA CAPITAL, INC. (Miami Beach FL)
NJ
04/20/2007 - 01/04/2017
TRANSAMERICA INVESTORS SECURITIES CORPORATION (RINGOES NJ)
NJ
11/19/2002 - 03/31/2003
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
08/21/2000 - 07/17/2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
BC
Issued 05/01/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/2017
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 04/16/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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