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 Ogrady is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. James has been in the industry since 2012. James has a Series 7, Series 9, Series 10 and Series 66 license and is registered in 53 states and several jurisdictions. James has experience with a wide range of clients, including individuals, corporations, insurance companies, pension plans, and charitable organizations. James provides portfolio management, performance measurement reports, allocation modeling, IPS, research reports and services, and selection of other advisors.
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
NJ
05/07/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (Berkeley Heights NJ)
NY
02/22/2013 - 05/16/2013
OLYMPIA ASSET MANAGEMENT,LTD. (NEW YORK NY)
NJ
08/18/2011 - 07/20/2012
ING FINANCIAL PARTNERS, INC. (JERSEY CITY NJ)
BOTH
Issued 09/01/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/19/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/07/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/2011
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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