Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames R Fink is a financial advisor with over 18 years of experience in the financial services industry. James is registered with Raymond James & Associates, Inc. and has a Series 66, Series 7 and SIE license. James provides financial advice to individual and corporate clients, including financial planning, portfolio management, and retirement planning. James R Fink has a strong reputation for providing personalized financial advice. Before joining Raymond James & Associates, Inc. in 2016, James worked at DEUTSCHE BANK SECURITIES INC. James is licensed in 35 states, including Connecticut, Texas, and Florida.
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.
Please see note in schedule d - miscellaneous
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
CT
09/06/2016 - Present
Raymond James & Associates, Inc. (Greenwich CT)
CT
06/15/2004 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (GREENWICH CT)
BOTH
Issued 01/25/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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