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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Stuart Francis is a financial advisor with Evercore Group LLC, a leading independent investment banking advisory firm. James has over 40 years of experience in the financial services industry, and has held senior roles at Barclays Capital Inc., Lehman Brothers Inc. and Smith Barney, Harris Upham & Co. James is registered with FINRA and has passed numerous industry exams, including the Series 7, Series 24, Series 63, and the SIE. James is currently registered with the Securities and Exchange Commission (SEC) as a broker-dealer and investment advisor.
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
CA
07/31/2014 - Present
Evercore Group LLC (MENLO PARK CA)
CA
09/22/2008 - 06/05/2014
BARCLAYS CAPITAL INC. (MENLO PARK CA)
CA
09/06/1991 - 09/22/2008
LEHMAN BROTHERS INC. (MENLO PARK CA)
NY
11/25/1981 - 07/03/1991
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BC
Issued 06/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/1990
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq BX, Inc.
N
Nasdaq Stock Market
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