Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Turner is a financial advisor who has been in the industry since 1986. James is currently registered with RBC Capital Markets, LLC. James has also previously worked with UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. James currently holds Series 3, 7, 8, 63 and 65 licenses. James specializes in services for Individuals, High Net Worth Individuals, Pension and Profit-Sharing Plans, Corporations or Other Businesses, Charitable Organizations, Insurance Companies, Pooled Investment Vehicles, Banking or Thrift Institutions, and State or Municipal Government Entities.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NJ
09/07/2021 - Present
RBC Capital Markets, LLC (FLORHAM PARK NJ)
NJ
02/16/2012 - 09/23/2021
UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)
NJ
06/01/2009 - 02/27/2012
MORGAN STANLEY SMITH BARNEY (FAIRFIELD NJ)
NJ
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FAIRFIELD NJ)
NJ
03/19/1986 - 04/02/2007
MORGAN STANLEY DW INC. (FAIRFIELD NJ)
IA
Issued 09/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/1987
Series 3 - National Commodity Futures Examination
BC
Issued 03/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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