Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames T. Barth is a financial advisor who has been active in the industry since 2003. James is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has held previous roles with a variety of firms including ONEAMERICA SECURITIES, INC., AMERICAN UNITED LIFE INSURANCE COMPANY, PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY, JOHN HANCOCK DISTRIBUTORS, INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, PRUCO SECURITIES CORPORATION, and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA. James holds licenses for Series 6, Series 7, and the Securities Industry Essentials Examination (SIE).
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
NY
11/02/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
IN
09/27/2001 - 06/28/2002
ONEAMERICA SECURITIES, INC. (INDIANAPOLIS IN)
IN
03/16/1998 - 12/17/2001
AMERICAN UNITED LIFE INSURANCE COMPANY (INDIANAPOLIS IN)
FL
01/01/1993 - 03/04/1994
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY (PALM BEACH GARDENS FL)
MA
04/16/1992 - 08/25/1992
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
04/16/1992 - 08/25/1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
NJ
02/22/1989 - 02/14/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
02/22/1989 - 02/14/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/2011
Series 7 - General Securities Representative Examination
BC
Issued 03/14/1998
Series 6 - Investment Company Products/Variable Contracts 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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