Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Maher is a financial advisor with over 20 years of experience in the industry. James Maher currently works for Capital Client Group, Inc. He is registered with the state of California as an Investment Advisor Representative and is also registered with the state of Ohio and Vermont as a Broker. James Maher has a strong track record of success and a commitment to providing his clients with personalized financial advice.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
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2
CA
04/25/2013 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
MA
05/02/2001 - 04/13/2011
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
IA
Issued 06/30/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/27/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/2011
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2002
Series 7 - General Securities Representative Examination
BC
Issued 05/01/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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