Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McCormick is a financial advisor with over 20 years of experience in the industry. James has been with Morgan Stanley since 2009, and previously worked for Morgan Stanley DW Inc. and Merrill Lynch. James is a Registered Representative and Investment Advisor Representative, and holds Series 3, 7, 9, 10, 31, and 66 licenses. James provides a range of financial services to individual, business and institutional clients. James is a City Commissioner for Safety Harbor, FL and is active in Rotary International.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
04/15/2019 - Present
Morgan Stanley (Palm Harbor FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SARASOTA FL)
FL
11/09/2000 - 04/02/2007
MORGAN STANLEY DW INC. (PORT RICHEY FL)
NY
04/20/1999 - 02/25/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 07/26/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/31/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/02/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2007
Series 3 - National Commodity Futures Examination
BC
Issued 11/20/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 04/19/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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