Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ontiveros is a securities professional with over 10 years of experience in the financial industry. James has held various roles at firms such as FIS Brokerage & Securities Services LLC, Jump Trading, LLC, and OptionsXpress, Inc. James is currently registered with Mizuho Securities USA LLC and holds the Series 3, 7, 57TO, 99TO, and SIE licenses. James has a strong understanding of the financial markets and is committed to providing his clients with high-quality investment advice.
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
IL
09/09/2021 - Present
Mizuho Securities USA LLC (CHICAGO IL)
IL
07/10/2020 - 05/14/2021
FIS BROKERAGE & SECURITIES SERVICES LLC (GENEVA IL)
IL
06/08/2012 - 12/05/2019
JUMP TRADING, LLC (CHICAGO IL)
IL
06/28/2011 - 04/09/2012
OPTIONSXPRESS, INC. (CHICAGO IL)
BC
Issued 12/01/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2011
Series 7 - General Securities Representative Examination
BC
Issued 08/05/1996
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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