Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Brady is a financial advisor with over 15 years of experience in the industry. James has worked for several firms including NEUBERGER BERMAN BD LLC, J.P. MORGAN SECURITIES LLC, and CHASE INVESTMENT SERVICES CORP. James is currently registered with ADP Broker-Dealer, Inc. and holds Series 7, 31, 63, and 65 licenses. James has a strong track record of providing investment advice and financial planning services to clients.
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.
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.
1
2
NJ
12/13/2017 - Present
ADP Broker-Dealer, Inc. (FLORHAM PARK NJ)
NY
04/01/2015 - 12/12/2017
NEUBERGER BERMAN BD LLC (NEW YORK NY)
NY
10/01/2012 - 04/16/2015
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
05/11/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
IA
Issued 03/12/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2016
Series 31 - Futures Managed Funds Examination
BC
Issued 05/08/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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