Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Paul Esposito is a financial professional with over 18 years of experience in the industry. James is currently registered with Mizuho Securities USA LLC and is active in the broker-dealer and investment advisor industries. James has held previous positions with WELLS FARGO SECURITIES, LLC and BANC OF AMERICA SECURITIES LLC. James is licensed in Series 7, 55, 63, 57TO, 99TO, and SIE examinations and holds active registrations in all 50 states, District of Columbia and Puerto Rico.
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.
1
2
NY
07/08/2021 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NY
04/13/2009 - 05/06/2021
WELLS FARGO SECURITIES, LLC (New York NY)
NY
11/08/2004 - 04/15/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 11/24/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/03/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/14/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/05/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
Not sure James Esposito is the right advisor for you? Invested Better is here to help.
