Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McGinnis is a financial professional with over 30 years of experience in the securities industry. James is currently registered with Fifth Third Securities, Inc. and holds a Series 7, Series 24, Series 63 and Series 79TO license. James has also been previously registered with Solomon Partners Securities, LLC, HMC Investments, Inc., AIG Financial Securities Corp., Morgan Stanley & Co., Incorporated and Goldman, Sachs & Co. James specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisors. James is committed to providing clients with the highest level of service and expertise.
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.
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.
Sponsor wrap fee program
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.
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2
NY
05/22/2023 - Present
Fifth Third Securities, Inc. (NEW YORK NY)
NY
03/14/2019 - 04/13/2023
SOLOMON PARTNERS SECURITIES, LLC (NEW YORK NY)
NY
05/19/2008 - 03/10/2009
HMC INVESTMENTS, INC. (NEW YORK NY)
CT
12/06/2005 - 05/05/2008
AIG FINANCIAL SECURITIES CORP. (WILTON CT)
NY
10/19/1993 - 07/20/2005
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
03/20/1990 - 10/14/1993
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 7/31/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 4/13/2001
Series 24 - General Securities Principal Examination
BC
Issued 7/25/2019
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 3/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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