Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Appel is a financial advisor with Raymond James & Associates, Inc. James has been in the industry since August 1992 and has worked with firms such as Morgan Stanley & Co., Incorporated and A. G. Edwards & Sons, Inc. James is registered with both FINRA and the Securities and Exchange Commission. James has a wide range of experience in financial advising and holds the Series 7, 9, 10, 31, 63, and 65 licenses. James is also registered with several states for both broker-dealer and investment advisor activities. James primarily works with high-net-worth individuals, pension and profit sharing plans, corporations or other businesses, and individuals other than high-net-worth. James provides a variety of services to clients including financial planning, portfolio management for businesses and individuals, pension consulting, and educational seminars.
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.
Please see note in schedule d - miscellaneous
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
IL
03/30/2016 - Present
Raymond James & Associates, Inc. (Chicago IL)
IL
04/02/2007 - 05/14/2007
MORGAN STANLEY & CO., INCORPORATED (WINNETKA IL)
IL
10/09/2000 - 04/02/2007
MORGAN STANLEY DW INC. (WINNETKA IL)
MO
08/31/1992 - 10/09/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 03/22/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/10/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/01/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/31/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 08/28/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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