Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Walter Mannix is a financial advisor with Mutual of America Securities LLC. James is registered with the state of North Carolina and the Financial Industry Regulatory Authority (FINRA). James has been a financial advisor for over 15 years and has experience with a variety of investment products and services. James is dedicated to providing personalized financial advice to help his clients achieve their financial goals.
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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NC
04/14/2021 - Present
Mutual OF America Securities LLC (Charlotte NC)
NC
03/25/2013 - 10/08/2015
SOUTHEAST INVESTMENTS, N.C., INC. (CHARLOTTE NC)
NC
05/12/2010 - 02/28/2013
MML INVESTORS SERVICES, LLC (CHARLOTTE NC)
NC
05/01/2009 - 04/14/2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CHARLOTTE NC)
NC
09/18/2007 - 03/31/2009
WACHOVIA SECURITIES, LLC (CHARLOTTE NC)
BC
Issued 04/28/2021
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 10/02/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/14/2021
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/05/2021
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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