Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wyman is a financial advisor with over 30 years of experience in the financial services industry. James currently works at RBC Capital Markets, LLC where James has been registered since 2009. James is a Certified Financial Planner and holds a variety of licenses and registrations including Series 7, 6, 9, 10, 63, 65 and SIE. James provides advisory services to individuals, corporations, pension plans and charitable organizations. James's previous experience includes positions at Ferris, Baker Watts, LLC, PNC Investments, J.J.B. Hilliard, W.L. Lyons, Inc., PNC Brokerage Corp and Jefferson-Pilot Investor Services, Inc..
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
PA
03/23/2020 - Present
RBC Capital Markets, LLC (PITTSBURGH PA)
PA
03/13/2009 - 03/17/2020
RBC CAPITAL MARKETS, LLC (MONROEVILLE PA)
PA
12/06/2004 - 03/13/2009
FERRIS, BAKER WATTS, LLC (MONROEVILLE PA)
PA
01/01/2004 - 12/16/2004
PNC INVESTMENTS (PITTSBURGH PA)
KY
06/01/2002 - 01/01/2004
J.J.B. HILLIARD, W.L. LYONS, INC. (LOUISVILLE KY)
PA
06/03/1994 - 06/01/2002
PNC BROKERAGE CORP (PITTSBURGH PA)
IN
02/27/1992 - 06/14/1994
JEFFERSON-PILOT INVESTOR SERVICES, INC. (FORT WAYNE IN)
MA
01/31/1991 - 01/22/1992
SMA EQUITIES, INC. (WORCESTER MA)
IA
Issued 09/27/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/08/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/23/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/13/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 03/14/1995
Series 7 - General Securities Representative Examination
BC
Issued 01/14/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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