Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Cole is a financial professional with over 20 years of experience in the securities industry. James has a broad background in the financial services industry, including experience with Wells Fargo Securities, LLC, BANC of America Securities LLC, Fleet Securities, Inc. and FleetBoston Robertson Stephens Inc. James is currently registered with Mufg Securities Americas Inc. in New York. James holds Series 7, Series 24, Series 57TO, Series 79TO, Series 99TO and Series 63 licenses.
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
06/04/2021 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
CA
07/08/2009 - 06/18/2019
WELLS FARGO SECURITIES, LLC (CARLSBAD CA)
MA
12/12/2005 - 06/03/2006
BANC OF AMERICA SECURITIES LLC (BOSTON MA)
TX
09/05/2000 - 07/22/2004
FLEET SECURITIES, INC. (DALLAS TX)
CA
05/23/1997 - 09/05/2000
FLEETBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
NY
11/10/1993 - 07/19/1995
DRESDNER SECURITIES (USA) INC. (NEW YORK NY)
BC
Issued 09/03/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/10/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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