Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rossi is a financial professional with over 39 years of experience in the industry. James is currently registered with BOK Financial Securities, Inc. in Richardson, Texas. Previously, James has held positions with HILLTOP SECURITIES INC., MORGAN KEEGAN & COMPANY, INC., WILLIAM R. HOUGH & CO. and RAUSCHER PIERCE REFSNES, INC.. James specializes in providing financial advice and portfolio management for individuals, businesses, and pooled investment vehicles. James holds Series 7, Series 63, and Series 52TO licenses.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
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.
Furnishes advice about securities in any manner not described above.
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
TX
02/17/2016 - Present
BOK Financial Securities, Inc. (Richardson TX)
TX
10/01/2007 - 12/23/2015
HILLTOP SECURITIES INC. (DALLAS TX)
TN
10/06/1999 - 09/05/2007
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
FL
11/26/1997 - 10/04/1999
WILLIAM R. HOUGH & CO. (ST. PETERSBURG FL)
TX
01/21/1991 - 11/19/1997
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NC
08/24/1983 - 12/31/1990
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
BC
Issued 08/30/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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