Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Regehr is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the industry since 2004. James has Series 3, 7, 7TO, 63 and 65 licenses. In addition to individual clients, James works with insurance companies, charitable organizations, pension and profit sharing plans, corporations or other businesses, high net worth individuals and state or municipal government entities. James has been previously registered with Vanguard Marketing Corporation, Wells Fargo Clearing Services, LLC, UBS PaineWebber Inc., Wachovia Securities, Inc. and Ally Invest Securities LLC.
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
NC
07/13/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
12/06/2022 - 03/29/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
06/09/2021 - 02/17/2022
ALLY INVEST SECURITIES LLC (Charlotte NC)
NC
08/25/2020 - 10/30/2020
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
03/10/2004 - 07/19/2016
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
NJ
08/03/2001 - 03/19/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NC
12/16/1997 - 08/30/2001
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 03/21/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2020
Series 7TO - General Securities Representative Examination
BC
Issued 12/15/1997
Series 7 - General Securities Representative Examination
BC
Issued 09/16/1987
Series 3 - National Commodity Futures 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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