Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Regan Connolly is a financial professional with over 25 years of experience in the industry. James is currently registered with MCS Capital Markets LLC and KKR Capital Markets LLC. James has previously held positions at Nomura Securities International, Inc., Citigroup Global Markets Inc., and Salomon Brothers Inc. James holds a Series 3, Series 7, and Series 63 license.
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.
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.
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NY
01/15/2013 - Present
MCS Capital Markets LLC (NEW YORK NY)
NY
10/29/2007 - 03/14/2012
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
11/29/1997 - 10/25/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/30/1996 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 11/08/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1996
Series 7 - General Securities Representative Examination
BC
Issued 10/21/1996
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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