Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dolphin is an active investment professional with experience in the securities industry. James holds the Series 63, Series 79, and SIE licenses. James is currently registered with Ama Securities Llc, a broker-dealer in Connecticut and New York.
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
05/11/2022 - Present
AMA Securities LLC (STAMFORD CT)
BC
Issued 10/29/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/11/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/04/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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