Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moulton is a financial professional with over 15 years of experience in the industry. James is currently a Registered Representative at Merrill Lynch, Pierce, Fenner & Smith Inc. James is also a Registered Investment Advisor (RIA) for both Florida and Texas. James has held various roles with firms such as J.P. Morgan Securities LLC, Chase Investment Services Corp. and E*TRADE Securities LLC. James holds Series 3, 7, 63, and 66 licenses along with the Securities Industry Essentials Examination (SIE) license. James has also worked as a Financial Advisor for Bank of America, N.A. James specializes in providing investment advice and portfolio management services to a variety of clients including high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations.
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
FL
07/07/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CLERMONT FL)
IL
12/07/2015 - 05/01/2022
J.P. MORGAN SECURITIES LLC (WILMETTE IL)
IL
10/01/2012 - 11/23/2015
J.P. MORGAN SECURITIES LLC (CHICAGO IL)
IL
04/07/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IL
07/22/2009 - 04/09/2010
E*TRADE SECURITIES LLC (CHICAGO IL)
IL
12/08/2006 - 07/16/2009
TERRA NOVA FINANCIAL, LLC (CHICAGO IL)
BOTH
Issued 09/28/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/07/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2009
Series 3 - National Commodity Futures Examination
BC
Issued 12/07/2006
Series 7 - General Securities Representative 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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