Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Diamond is a financial advisor with Needham & Company, LLC. James has been in the industry since July 2023. James is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7TO, Series 63, and SIE licenses. James is registered in Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Hawaii, Illinois, Massachusetts, Minnesota, Montana, Nevada, New Mexico, New York, Oregon, Pennsylvania, Texas, Utah, Virginia, Washington, and Wyoming. Previously, James was employed by Northwestern Mutual Investment Services, LLC in Redwood City, California.
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.
Securities research
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.
Pursuant to csa agreements
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2
CA
09/27/2023 - Present
Needham & Company, LLC (SAN FRANCISCO CA)
CA
07/11/2023 - 09/26/2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (REDWOOD CITY CA)
BC
Issued 08/04/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/11/2023
Series 7TO - General Securities Representative Examination
BC
Issued 06/12/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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