Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames P. Seppala is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. James has over 25 years of experience in the financial services industry. James has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2012. Previously, James was registered with Commonwealth Financial Network, FSC Securities Corporation, SagePoint Financial, Inc., Royal Alliance Associates, Inc., American General Securities Incorporated, Linsco/Private Ledger Corp., Brown Brothers Harriman & Co., National Financial Services Corporation, Fidelity Brokerage Services, Inc., and Fidelity Investments Institutional Services Company, Inc. James holds Series 6, 7, 10, 24, 27, 63, 65, 99TO, and SIE licenses. James specializes in portfolio management for individuals and businesses, as well as pension consulting and educational seminars. James is committed to providing his clients with personalized financial advice and guidance.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MA
09/12/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
10/20/2009 - 05/15/2012
COMMONWEALTH FINANCIAL NETWORK (WALTHAM MA)
GA
08/06/2007 - 01/15/2009
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
GA
08/06/2007 - 01/15/2009
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
08/06/2007 - 01/15/2009
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
NY
08/06/2007 - 12/04/2008
ROYAL ALLIANCE ASSOCIATES, INC. (NEW YORK NY)
AZ
08/06/2007 - 10/29/2008
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
CA
11/13/2006 - 08/29/2007
LINSCO/PRIVATE LEDGER CORP. (EL SEGUNDO CA)
NY
06/03/2003 - 05/06/2005
BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)
SC
05/05/1997 - 03/03/2003
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
MA
01/03/1996 - 04/25/1996
NATIONAL FINANCIAL SERVICES CORPORATION (BOSTON MA)
RI
11/11/1992 - 12/31/1995
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
RI
02/04/1992 - 10/06/1992
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 8/6/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 5/23/2018
Series 24 - General Securities Principal Examination
BC
Issued 9/23/2005
Series 27 - Financial and Operations Principal Examination
BC
Issued 1/2/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/15/1992
Series 7 - General Securities Representative Examination
BC
Issued 2/3/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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