Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Clifford is a financial advisor with Raymond James & Associates, Inc. in Memphis, TN. He has been a Registered Representative since 2011. James has a diverse background in the financial industry and holds several licenses and certifications including Series 4, 7, 9, 10, 24, 53, 55, 57TO, 66 and SIE. James previously worked at Morgan Keegan & Company, Inc., also in Memphis.
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.
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.
Please see note in schedule d - miscellaneous
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
TN
02/13/2013 - Present
Raymond James & Associates, Inc. (MEMPHIS TN)
TN
05/20/2011 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BOTH
Issued 06/09/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/03/2012
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/12/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/22/2011
Series 4 - Registered Options Principal Examination
BC
Issued 07/13/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2014
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/19/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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