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 Thiher is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. James is active in the financial industry since February 25, 1979 and has worked with the firm since November 1978. James is registered to offer investment advice and securities in 36 states and the District of Columbia. James is a highly experienced financial professional. James has a diverse set of credentials and provides a variety of services for both individuals and businesses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MN
03/05/1993 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYZATA MN)
IA
Issued 09/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/03/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/1979
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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