Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Schlossberg is a financial professional with over 20 years of experience in the industry. James is currently registered with Ernst & Young Capital Advisors, LLC as a Registered Representative and Financial and Operations Principal. Previously, James worked at ERNST & YOUNG CORPORATE FINANCE LLC. James holds FINRA Series 7, 27, 28, 63, SIE, and 99TO licenses. James specializes in providing investment advice to clients.
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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2
NY
10/11/2016 - Present
Ernst & Young Capital Advisors, LLC (NEW YORK NY)
IL
01/15/2002 - 02/19/2003
ERNST & YOUNG CORPORATE FINANCE LLC (CHICAGO IL)
BC
Issued 02/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/11/2016
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 02/05/2003
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/14/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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