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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Darby is a financial advisor currently working for RBC Capital Markets, LLC. James has been in the financial industry since 2015. Previously James Darby has worked for UBS Financial Services Inc, USCA Securities LLC and Charles Schwab & Co., Inc. James Darby is registered in Texas as a Broker and Investment Advisor. James Darby holds the following licenses: Series 63, Series 66, Series 7 and SIE. James Darby also holds the Certified Financial Planner designation. James Darby specializes in providing financial and investment advice to high-net-worth individuals, corporations, pension and profit-sharing plans, individuals, charitable organizations, insurance companies, pooled investment vehicles, banking or thrift institutions and state or municipal government entities.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
06/27/2024 - Present
RBC Capital Markets, LLC (Houston TX)
TX
12/17/2018 - 06/18/2024
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
08/31/2015 - 12/18/2018
USCA SECURITIES LLC (HOUSTON TX)
TX
05/20/2015 - 09/02/2015
CHARLES SCHWAB & CO., INC. (AUSTIN TX)
BOTH
Issued 10/19/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/04/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/2015
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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