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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 Paul Maltese is an Investment Advisor Representative and General Securities Representative with Merrill Lynch, Pierce, Fenner & Smith Inc., registered with the state of New Jersey since April 2004 and with Texas since November 1997. James has been working in the financial services industry since January 22, 1990. James is also a Registered Investment Advisor in New Jersey and Texas. In addition to his FINRA and state registrations, James holds the Series 63, Series 65 and Series 7 licenses as well as the Securities Industry Essentials Examination. James has a total of 42 approved state registrations and 2 approved Investment Adviser registrations.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
11/13/1997 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ISELIN NJ)
IA
Issued 04/03/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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