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 Wohlbruck is a financial advisor with over 35 years of experience in the industry. James is currently registered with Mizuho Securities USA LLC and has previously held positions at Alexander Capital, L.P., Robert W. Baird & Co. Incorporated, and Citigroup Global Markets Inc. James is a licensed Series 7, 10, 24, 63 and SIE representative, and holds a wealth of knowledge and expertise in the financial services industry.
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
NY
11/16/2022 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NJ
12/22/2021 - 11/16/2022
ALEXANDER CAPITAL, L.P. (RED BANK NJ)
NY
01/21/2020 - 05/04/2021
ROBERT W. BAIRD & CO. INCORPORATED (New York NY)
NY
11/28/1997 - 12/18/2019
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/20/1986 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 05/29/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/28/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1991
Series 5 - Interest Rate Options Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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