Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kuhn is a financial advisor in Rogers, Arkansas. He has been in the financial services industry for over 16 years. James has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2015. Previously, he was registered with United Planners' Financial Services of America A Limited Partner and Edward Jones. He holds several licenses and registrations including Series 7, 31, 63, 65, and 66, as well as several state licenses. James provides financial advice and portfolio management services for a variety of clients, including individuals, corporations, insurance companies, and pension plans.
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
AR
06/01/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ROGERS AR)
AR
10/28/2005 - 03/12/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROGERS AR)
AZ
10/22/2004 - 10/28/2005
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (SCOTTSDALE AZ)
MO
09/05/2001 - 10/26/2004
EDWARD JONES (ST. LOUIS MO)
BOTH
Issued 06/18/2015
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/24/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2018
Series 31 - Futures Managed Funds Examination
BC
Issued 05/12/2015
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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