Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Maloney is a financial professional with over 20 years of experience in the financial services industry. James has been registered with Fidelity Brokerage Services LLC since 2007. Previously, James was registered with Fidelity Investments Institutional Services Company, Inc. and Putnam Mutual Funds Corp. James is licensed to conduct business in the state of Rhode Island. James holds the Series 6, Series 26, and Series 63 licenses as well as the SIE exam. James is dedicated to providing clients with personalized financial advice and guidance.
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.
1
2
RI
04/06/2007 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
RI
05/13/1997 - 03/03/2005
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
MA
01/24/1997 - 05/09/1997
PUTNAM MUTUAL FUNDS CORP. (BOSTON MA)
BC
Issued 07/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/13/2007
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Maloney is the right advisor for you? Invested Better is here to help.
