Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Michael James is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Jeffrey has been active in the securities industry since July 1973. Jeffrey holds both Broker-Dealer and Investment Advisor licenses and is registered to conduct business in 34 states. Jeffrey has a range of experience in the securities industry including providing financial and investment advice, securities transactions, and portfolio management for both individuals and businesses. Jeffrey is also registered to provide financial and investment advice to pension plans and charitable organizations.
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
NY
09/22/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
CT
06/07/2002 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
NY
07/19/1973 - 06/07/2002
LEBENTHAL & CO., INC. (NEW YORK NY)
IA
Issued 12/21/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 08/11/1975
Series 00 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1973
Series 1 - Registered 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
Not sure Jeffrey James is the right advisor for you? Invested Better is here to help.
