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 Keefe is a registered representative with Smbc Nikko Securities America, Inc. and has been in the securities industry since 2009. James has a Series 7, Series 63, Series 79TO, and SIE. James is registered in all 50 states and the District of Columbia. James was previously registered with BBVA Securities Inc. and Deutsche Bank Securities Inc.
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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2
NY
01/25/2016 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
02/10/2015 - 10/30/2015
BBVA SECURITIES INC. (NEW YORK NY)
NY
07/30/2009 - 01/08/2015
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
BC
Issued 12/17/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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