Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Raymond is a financial advisor currently registered with Fidelity Personal And Workplace Advisors in Greenwich, CT. James has been in the financial industry since 1994 and has held previous registrations with Cantor Fitzgerald & Co. and Maxim Group LLC. James has a strong track record of success in providing financial advice and has earned the trust of many clients. James is committed to providing his clients with the highest level of service and is dedicated to helping them 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.
Comprehensive financial plans to help you achieve your personal and business goals.
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.
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.
A percentage of the total value of assets under management is charged.
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2
CT
12/17/2024 - Present
Fidelity Personal AND Workplace Advisors (GREENWICH CT)
CT
10/01/2019 - 07/19/2023
CANTOR FITZGERALD & CO. (DARIEN CT)
NY
11/28/2017 - 10/29/2019
MAXIM GROUP LLC (NEW YORK NY)
CT
10/27/1995 - 11/03/2017
CANTOR FITZGERALD & CO. (DARIEN CT)
NY
07/06/1994 - 08/05/1996
CANTOR FITZGERALD SECURITIES (NEW YORK NY)
BOTH
Issued 01/19/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/26/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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