Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey James is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Jeffrey has over 20 years of experience in the financial services industry. Jeffrey is a Registered Representative and Investment Advisor Representative and holds the Series 6, 7, 31, 63 and 65 licenses. Jeffrey is also a Vice President of the Sonoma-Marin Fair Board and a member of the Advisory Board of the Farm Bureau Foundation of Sonoma County. Jeffrey is committed to providing his clients with personalized financial advice and guidance.
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
CA
01/12/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SANTA ROSA CA)
NY
03/09/1994 - 12/09/1994
MONY SECURITIES CORP. (NEW YORK NY)
IA
Issued 03/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 02/09/1995
Series 7 - General Securities Representative Examination
BC
Issued 03/08/1994
Series 6 - Investment Company Products/Variable Contracts 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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