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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Vittoria is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. James Vittoria has been in the securities industry since April 16, 2015 and is registered with FINRA and the states of Rhode Island and Texas. James Vittoria holds Series 7, 9, 10, 63, and 66 licenses. Merrill Lynch, Pierce, Fenner & Smith Inc. is a registered investment adviser with the SEC and manages assets of $10 billion to $50 billion for 16,965 clients. The firm offers a range of advisory services, including portfolio management for businesses and individuals, pension consulting, educational seminars, and selection of other advisers. The firm's main office is located in New York, NY.
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
RI
12/02/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Lincoln RI)
BOTH
Issued 12/01/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/13/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/22/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/2015
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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