Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert James is a securities professional with over a decade of experience in the financial industry. Robert has been registered with Capital One Securities, Inc. since August 2013. Robert is licensed to sell securities in a number of states, including Texas, California, Florida, and New York. Robert holds the Series 7, Series 63, Series 79, and SIE licenses.
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
TX
08/08/2013 - Present
Capital ONE Securities, Inc. (HOUSTON TX)
BC
Issued 08/24/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/22/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/08/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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