Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rothschild is a registered representative of ERG Securities (us) LLC, with an active registration in Connecticut and New York. James is a qualified investment banking professional with experience in the financial services industry. They have passed Series 79, Series 63 and SIE exams. James has been in the industry since 2017 and currently works at the Norwalk office of ERG Securities (us) LLC.
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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CT
11/04/2017 - Present
ERG Securities (us) LLC (Norwalk CT)
BC
Issued 01/16/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2017
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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