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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Peller is an Investment Advisor Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. James is a Certified Financial Planner (CFP) with experience in the industry since 1985. James is registered with the Financial Industry Regulatory Authority (FINRA) and has been working in the financial industry for over 30 years. James is registered to provide investment advice in Indiana and Texas and holds multiple licenses and designations, including Series 7, Series 9, Series 10, Series 31, and Series 63. James can provide financial advice to a variety of individuals and organizations, including corporations, pension plans, investment companies, and individuals.
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
IN
05/08/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MERRILLVILLE IN)
IN
10/01/2008 - 05/14/2009
J.P. MORGAN SECURITIES INC. (MERRILLVILLE IN)
IN
07/01/2006 - 10/01/2008
J.P. MORGAN SECURITIES INC. (MERRILLVILLE IN)
IN
06/01/1990 - 07/01/2006
BANC ONE SECURITIES CORPORATION (MERRILLVILLE IN)
NA
08/30/1989 - 06/01/1990
BANC ONE SECURITIES, INC.
NA
03/09/1989 - 07/24/1989
RAFFENSPERGER, HUGHES & CO., INC.
NA
03/23/1988 - 09/02/1988
EDWARD D. JONES & CO., L.P.
NA
01/23/1985 - 03/24/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 02/26/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/06/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/22/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/24/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 01/19/1985
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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