Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McCaffrey is a financial professional with over 20 years of experience in the industry. James is currently registered with Invicta Capital LLC in Oakmont, PA. James has held previous positions with several firms including MCG Securities LLC, Matrix 360 Distributors, LLC, Transamerica Capital, Inc., National Securities Corporation, Knight Capital Americas LLC, Foreside Fund Services, LLC, Pacific Select Distributors, Inc., Planco Financial Services, Inc., Allstate Distributors, L.L.C., Vista Fund Distributors, Inc. and Federated Securities Corp. James holds several licenses including Series 6, 7, 63, 65, 79TO, and SIE. James is a dedicated financial professional with a strong track record of success.
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.
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2
PA
03/04/2024 - Present
Invicta Capital LLC (OAKMONT PA)
PA
08/08/2017 - 05/24/2018
MCG SECURITIES LLC (WAYNE PA)
KS
04/04/2017 - 07/27/2017
MATRIX 360 DISTRIBUTORS, LLC (FAIRWAY KS)
CO
11/05/2014 - 09/01/2016
TRANSAMERICA CAPITAL, INC. (DENVER CO)
FL
07/29/2013 - 03/17/2014
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
NY
09/07/2012 - 07/15/2013
KNIGHT CAPITAL AMERICAS LLC (NEW YORK NY)
NY
08/26/2009 - 01/17/2012
FORESIDE FUND SERVICES, LLC (NEW YORK NY)
CA
03/08/2004 - 08/25/2009
PACIFIC SELECT DISTRIBUTORS, INC. (NEWPORT BEACH CA)
CT
08/12/2002 - 12/04/2003
PLANCO FINANCIAL SERVICES, INC. (HARTFORD CT)
IL
03/22/2001 - 07/01/2002
ALLSTATE DISTRIBUTORS, L.L.C. (NORTHBROOK IL)
MA
09/12/1996 - 03/19/2001
VISTA FUND DISTRIBUTORS, INC. (BOSTON MA)
PA
06/28/1995 - 08/29/1996
FEDERATED SECURITIES CORP. (PITTSBURGH PA)
BC
Issued 03/18/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/13/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/2024
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/2024
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 09/22/2009
Series 7 - General Securities Representative Examination
BC
Issued 06/08/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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