Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mathieu? Claim Your ProfileMathieu James is a financial advisor with over 13 years of experience in the industry. Mathieu has worked at Merrill Lynch, Pierce, Fenner & Smith Inc. since 2011, and currently holds a Series 7, Series 9, Series 10, Series 66, and Series 99TO license. Mathieu is registered with the state of Florida. Mathieu is currently employed at Bofa Securities, Inc. and is located in New York, NY.
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
07/22/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
FL
05/13/2011 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
BOTH
Issued 08/19/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/12/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/21/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/22/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2011
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Mathieu James is the right advisor for you? Invested Better is here to help.
