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 Sauls is a financial advisor who has been in the industry since March 18, 2006. James is currently registered with Interactive Brokers LLC, and has previously worked with several other firms including IMST Distributors, LLC, Agecroft Partners, LLC and TJM Investments, LLC. James holds Series 3, 7, 24, and 63 licenses and the SIE designation. James is licensed in Illinois and Maine.
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
IL
11/10/2020 - Present
Interactive Brokers LLC (CHICAGO IL)
ME
06/26/2015 - 07/16/2019
IMST DISTRIBUTORS, LLC (PORTLAND ME)
VA
06/06/2013 - 03/03/2015
AGECROFT PARTNERS, LLC (RICHMOND VA)
IL
05/09/2011 - 01/16/2013
TJM INVESTMENTS, LLC (CHICAGO IL)
IL
11/21/2008 - 04/08/2011
CALATRAVA SECURITIES LLC (CHICAGO IL)
IL
01/10/2008 - 01/05/2009
TJM INVESTMENTS, LLC (CHICAGO IL)
IL
07/27/2005 - 03/21/2007
TJM INVESTMENTS, LLC (CHICAGO IL)
IL
11/15/2001 - 08/05/2003
FIMAT USA, INC. (CHICAGO IL)
NY
07/23/1998 - 09/21/1998
SANWA UNIVERSAL SECURITIES CO. (NEW YORK NY)
NY
03/10/1998 - 07/24/1998
SANWA SECURITIES (USA) CO., L.P. (NEW YORK NY)
BC
Issued 05/08/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2001
Series 7 - General Securities Representative Examination
BC
Issued 07/01/1985
Series 3 - National Commodity Futures Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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