Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael James is a financial professional with over 10 years of experience in the industry. Michael currently holds registrations with Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Michael has Series 63, Series 7, Series 9 and Series 10 licenses. Previously, Michael has been registered with Transamerica Financial Advisors, Inc, FSC Securities Corporation and E*TRADE SECURITIES LLC. Michael is licensed to provide securities related advice and services in Georgia. Michael's specialties include financial planning, portfolio management, pension consulting and educational seminars.
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.
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.
Please see note in schedule d - miscellaneous
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
FL
04/06/2022 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
GA
05/02/2019 - 04/01/2022
TRANSAMERICA FINANCIAL ADVISORS, INC (JOHNS CREEK GA)
GA
09/11/2014 - 03/15/2019
FSC SECURITIES CORPORATION (ATLANTA GA)
GA
09/02/2011 - 05/30/2014
E*TRADE SECURITIES LLC (ALPHARETTA GA)
BC
Issued 09/12/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/01/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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