Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Scott Rochford is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. with over 34 years of experience in the financial services industry. James holds a Series 7, Series 31, and SIE license. James has previously worked at Morgan Stanley DW Inc., JANNEY MONTGOMERY SCOTT LLC, BEAR, STEARNS & CO. INC., and LEHMAN BROTHERS INC. James is registered with the state of Texas as an Investment Advisor Representative and is also registered with the state of Texas as a Broker. James has a long history of working with individuals, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans. James is also a member of the Exchange Club of Needham MA, a non-profit organization, and is active in charitable efforts.
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
MA
10/20/2004 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WELLESLEY HILLS MA)
NY
02/29/2000 - 05/07/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
PA
02/04/1997 - 02/28/2000
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
NY
03/27/1995 - 02/12/1997
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
09/19/1989 - 04/21/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 10/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/16/1989
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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