Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames MacDougall is an active broker with over 35 years of experience in the financial industry. James is currently registered with Finalis Securities LLC and holds licenses for series 3, 5, 7, 72 and SIE. James previously held positions at ODEON CAPITAL GROUP LLC, MARCO POLO SECURITIES INC., CASTLEOAK SECURITIES, LP, JANNEY MONTGOMERY SCOTT LLC, WHITE, WELD & CO. SECURITIES, LLC, MIZUHO SECURITIES USA INC., GUGGENHEIM SECURITIES, LLC, SUMMIT SECURITIES GROUP LLC, DAHLMAN ROSE & COMPANY, LLC, FIELDSTONE SERVICES CORP., SG AMERICAS SECURITIES, LLC, GUGGENHEIM CAPITAL MARKETS, LLC, MAXCOR FINANCIAL INC., LEGG MASON WOOD WALKER, INCORPORATED, CBA SECURITIES LLC, PNC CAPITAL MARKETS, INC., PAINEWEBBER INCORPORATED, MILLER TABAK HIRSCH & CO., CHASE SECURITIES, INC., LEHMAN BROTHERS INC., LEHMAN SPECIAL SECURITIES INC., LEHMAN GOVERNMENT SECURITIES INC., DREXEL BURNHAM LAMBERT INCORPORATED, and SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED. James has a strong track record of success in the financial services industry and is committed to providing clients with personalized financial advice and investment strategies.
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
NY
07/25/2022 - Present
Finalis Securities LLC (New York NY)
NY
11/02/2020 - 11/22/2021
ODEON CAPITAL GROUP LLC (NEW YORK NY)
NY
01/15/2019 - 10/27/2020
MARCO POLO SECURITIES INC. (NEW YORK NY)
NY
08/08/2016 - 02/27/2017
CASTLEOAK SECURITIES, LP (NEW YORK NY)
NY
02/19/2014 - 05/27/2016
JANNEY MONTGOMERY SCOTT LLC (NEW YORK NY)
NY
06/25/2013 - 02/13/2014
WHITE, WELD & CO. SECURITIES, LLC (NEW YORK NY)
NY
08/24/2011 - 04/30/2013
MIZUHO SECURITIES USA INC. (NEW YORK NY)
NY
08/02/2010 - 08/23/2011
GUGGENHEIM SECURITIES, LLC (NEW YORK NY)
NY
10/22/2008 - 07/30/2010
SUMMIT SECURITIES GROUP LLC (NEW YORK NY)
NY
03/17/2008 - 10/06/2008
DAHLMAN ROSE & COMPANY, LLC (NEW YORK NY)
NY
01/04/2008 - 03/11/2008
FIELDSTONE SERVICES CORP. (NEW YORK NY)
NY
02/02/2006 - 12/03/2007
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
01/27/2004 - 01/18/2006
GUGGENHEIM CAPITAL MARKETS, LLC (NEW YORK NY)
NY
04/30/2003 - 01/26/2004
MAXCOR FINANCIAL INC. (NEW YORK NY)
MD
06/18/2001 - 05/06/2003
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
CT
05/04/2001 - 06/13/2001
CBA SECURITIES LLC (GREENWICH CT)
PA
06/15/1999 - 02/16/2001
PNC CAPITAL MARKETS, INC. (PITTSBURGH PA)
NJ
07/29/1996 - 08/12/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/07/1996 - 07/11/1996
MILLER TABAK HIRSCH & CO. (NEW YORK NY)
MD
07/13/1993 - 02/09/1996
CHASE SECURITIES, INC. (NEW YORK MD)
NY
06/22/1989 - 07/08/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
06/22/1989 - 07/08/1993
LEHMAN SPECIAL SECURITIES INC.
NA
10/23/1987 - 07/08/1993
LEHMAN GOVERNMENT SECURITIES INC.
NA
12/07/1984 - 04/03/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
07/25/1983 - 08/27/1984
PAINEWEBBER INCORPORATED
NA
04/13/1981 - 07/22/1983
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BC
Issued 10/13/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 02/27/2017
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1988
Series 3 - National Commodity Futures Examination
BC
Issued 10/16/1981
Series 5 - Interest Rate Options Examination
BC
Issued 04/11/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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