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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Moreno is a financial advisor with Raymond James & Associates, Inc. based in Denver, Colorado. James Michael Moreno is a Registered Representative with Series 7, 9, 10, 24, 55, 63, 66, 79TO, and SIE licenses. James Michael Moreno has been in the financial industry for over 15 years. Prior to joining Raymond James & Associates, Inc., James Michael Moreno worked at Hilltop Securities Inc. and WFG Investments, Inc. James Michael Moreno specializes in working with individuals, businesses, corporations, high-net-worth individuals, pension plans, and insurance companies.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
02/23/2022 - Present
Raymond James & Associates, Inc. (Denver CO)
TX
11/30/2012 - 07/16/2021
HILLTOP SECURITIES INC. (DALLAS TX)
TX
01/01/2007 - 08/24/2011
WFG INVESTMENTS, INC. (DALLAS TX)
TX
08/27/1999 - 10/04/2001
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
BOTH
Issued 02/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/22/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/19/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/21/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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