Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Money Read is an investment advisor representative with over 40 years of experience in the financial services industry. James Money Read is currently registered with Jefferies Investment Advisers LLC in Alabama, Florida, Georgia, New York, and Texas. James Money Read has previously been registered with UBS Financial Services Inc., Credit Suisse First Boston LLC, Donaldson, Lufkin & Jenrette Securities Corporation, and Goldman, Sachs & Co. James Money Read holds Series 3, 5, 7, and 63 licenses. James Money Read has provided financial planning, portfolio management for individuals and businesses, and selection of other advisors services for clients.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
NY
05/25/2023 - Present
Jefferies Investment Advisers LLC (NEW YORK NY)
GA
10/05/2005 - 12/02/2009
UBS FINANCIAL SERVICES INC. (ATLANTA GA)
NY
02/02/2001 - 10/13/2005
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
NJ
03/03/1999 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
12/05/1977 - 12/17/1996
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 03/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1982
Series 5 - Interest Rate Options Examination
BC
Issued 08/23/1982
Series 3 - National Commodity Futures Examination
BC
Issued 11/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
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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