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James Reynolds

Loop Capital Markets LLC

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About James Reynolds

James Reynolds has been in the financial industry since 1983. James is currently a Registered Representative at Loop Capital Markets LLC. James has held previous roles with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Paine Webber Incorporated, and Smith Barney, Harris Upham & Co., Incorporated. James is a licensed Series 3, 7, 24, 52TO, 53, 63, 79TO and SIE representative and has been registered with FINRA since 1997.

Firm Information

James Reynolds is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

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.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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James Reynolds’s Registration & Firm History

NY

09/19/1997 - Present

Loop Capital Markets LLC (NEW YORK NY)

NY

08/12/1988 - 08/08/1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

05/15/1985 - 07/28/1988

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

07/21/1983 - 05/01/1985

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

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Licenses & Designations

BC

Issued 10/17/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/29/1997

Series 24 - General Securities Principal Examination

BC

Issued 05/09/1997

Series 53 - Municipal Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/13/1985

Series 3 - National Commodity Futures Examination

BC

Issued 07/16/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Reynolds.
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