Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Parran Swindell is a financial advisor with Evercore Group LLC. James has over 30 years of experience in the financial industry. James has worked with a number of firms including Knight Capital Markets LLC, Lehman Brothers Inc., Federated Securities Corp., Concord Financial Group, Inc., Pioneer Funds Distributor, Inc., and Putnam Financial Services, Inc.. James is licensed to sell securities in 37 states and holds licenses for both Series 7 and Series 63 exams, as well as the Uniform Investment Adviser Law Examination (Series 65).
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.
1
2
NY
09/29/2010 - Present
Evercore Group LLC (NEW YORK NY)
NY
06/25/2007 - 10/05/2010
KNIGHT CAPITAL MARKETS LLC (PURCHASE NY)
NY
06/02/2000 - 06/01/2007
LEHMAN BROTHERS INC. (NEW YORK NY)
PA
11/02/1994 - 05/26/2000
FEDERATED SECURITIES CORP. (PITTSBURGH PA)
MD
04/17/1993 - 07/18/1994
CONCORD FINANCIAL GROUP, INC. (BETHESDA MD)
MA
02/13/1992 - 01/19/1993
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
MA
07/18/1989 - 02/18/1992
PUTNAM FINANCIAL SERVICES, INC. (BOSTON MA)
IA
Issued 11/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2000
Series 7 - General Securities Representative Examination
BC
Issued 11/29/1994
Series 2 - Non-Member General Securities Examination
BC
Issued 05/17/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
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