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 Warden is a financial advisor who has been in the industry since January 30, 2004. Currently, James is registered with Vanguard Marketing Corp. and has a Series 6, Series 63, and SIE licenses. James has previously been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated; Dean Witter Reynolds Inc.; MetLife Securities Inc.; and Metropolitan Life Insurance Company. James is registered in Pennsylvania.
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.
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2
PA
09/03/2015 - Present
Vanguard Marketing Corp. (MALVERN PA)
PA
01/03/2001 - 08/14/2008
VANGUARD MARKETING CORPORATION (MALVERN PA)
NY
02/10/1998 - 12/14/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/10/1995 - 02/23/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
MA
01/14/1994 - 08/16/1994
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
01/14/1994 - 08/16/1994
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BC
Issued 09/18/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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