Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Matthew? Claim Your ProfileMatthew James has been in the financial services industry since 2009. Matthew currently holds the Series 3, Series 4, Series 7, Series 16, Series 24, Series 52TO, and Series 53 licenses. Matthew also holds the SIE and Series 63 exams. Matthew is currently registered with Finalis Securities LLC in New York. Matthew previously worked at Citigroup Global Markets Inc., Morgan Stanley & Co., Incorporated, and J.P. Morgan Securities Inc.
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
08/08/2024 - Present
Finalis Securities LLC (New York NY)
NY
11/07/2019 - 10/09/2023
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/09/2000 - 12/12/2006
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
12/07/1995 - 02/09/2000
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 11/01/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/25/2020
Series 24 - General Securities Principal Examination
BC
Issued 01/17/2020
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/10/2019
Series 4 - Registered Options Principal Examination
BC
Issued 08/13/2020
Series 3 - National Commodity Futures Examination
BC
Issued 01/10/2020
Series 52TO - Municipal Securities Representative Examination
BC
Issued 11/07/2019
Series 7TO - General Securities Representative Examination
BC
Issued 11/05/2019
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/1999
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 12/04/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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