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 Knox is a financial professional with over 28 years of experience in the industry. James is currently registered with J.P. Morgan Securities LLC as a Registered Representative and Investment Adviser Representative. Prior to this, James has held positions at Barclays Capital Inc. and J.P. Morgan Securities Inc.. James is licensed in multiple states and holds several industry certifications including Series 3, 4, 7, 8, 9, 10, 24, 63, 65, 79TO, and SIE. James specializes in providing financial planning, pension consulting, and portfolio management services for individuals and businesses.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
OH
08/25/2016 - Present
J.p. Morgan Securities LLC (Columbus OH)
PA
04/08/2013 - 08/04/2016
BARCLAYS CAPITAL INC. (PHILADELPHIA PA)
PA
10/01/2008 - 04/05/2013
J.P. MORGAN SECURITIES LLC (PHILADELPHIA PA)
PA
03/02/2001 - 10/01/2008
J.P. MORGAN SECURITIES INC. (PHILADELPHIA PA)
NY
07/21/2000 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/22/1994 - 07/13/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/20/2001
Series 4 - Registered Options Principal Examination
BC
Issued 10/09/2000
Series 24 - General Securities Principal Examination
BC
Issued 08/24/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/2014
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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