Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Collins is a financial advisor who has been in the industry for over 30 years. James is currently registered with Assetmark Brokerage, LLC in Phoenix, Arizona. James has experience working for several firms including Charles Schwab & Co., Inc., COR Clearing LLC and First National Capital Markets. James holds several licenses including Series 7, Series 9, Series 10, Series 24, Series 63 and Series 65.
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.
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2
AZ
02/15/2022 - Present
Assetmark Brokerage, LLC (Phoenix AZ)
TX
02/17/2017 - 07/22/2021
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NE
04/01/2015 - 08/31/2016
COR CLEARING LLC (OMAHA NE)
NE
08/08/2007 - 09/02/2014
FIRST NATIONAL CAPITAL MARKETS (OMAHA NE)
NY
12/19/2005 - 08/02/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CA
09/05/2003 - 01/18/2006
CITIGROUP GENEVA CAPITAL STRATEGIES INC. (LAGUNA HILLS CA)
TX
12/15/1997 - 12/31/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
06/17/1996 - 12/03/1997
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
CA
06/10/1996 - 06/20/1996
CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)
NY
08/15/1986 - 06/14/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
05/20/1986 - 08/23/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 05/04/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/29/1997
Series 24 - General Securities Principal Examination
BC
Issued 08/27/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
BC
Issued 09/14/1981
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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