Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moore is a financial advisor with over 10 years of experience in the industry. James currently works at J.p. Morgan Securities LLC, where James is a Registered Representative and an Investment Advisor Representative. James holds a Series 4, 7, 9, 10, 24, 63 and 66 license and has been actively registered in both Broker-Dealer and Investment Advisor capacity. James is also a registered principal in Ohio and Texas. Prior to joining J.p. Morgan Securities LLC, James worked at Morgan Stanley. James has worked in the financial services industry in Ohio. James has experience providing financial planning, portfolio management for businesses, and portfolio management for individuals. James has a proven track record of providing excellent service to clients and has a deep understanding of the financial markets.
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.
Guidance on pension options to ensure a secure financial future.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
OH
06/17/2021 - Present
J.p. Morgan Securities LLC (Columbus OH)
OH
07/06/2018 - 06/10/2021
MORGAN STANLEY (Columbus OH)
OH
06/07/2017 - 07/11/2018
J.P. MORGAN SECURITIES LLC (COLUMBUS OH)
OH
06/08/2015 - 05/30/2017
MORGAN STANLEY (COLUMBUS OH)
BOTH
Issued 12/13/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/10/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/11/2018
Series 4 - Registered Options Principal Examination
BC
Issued 03/22/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/29/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/26/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2015
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Moore is the right advisor for you? Invested Better is here to help.
