Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon P. James is a financial advisor with over 20 years of experience in the industry. Simon is a registered representative with J.P. Morgan Securities LLC and holds a Series 7, 6, 66, and 24 licenses. Simon is also a registered principal with the firm. Simon has previously worked for Chase Investment Services Corp., AXA Advisors, LLC, and American General Securities Incorporated. Simon is registered to provide financial advice in all 50 states and the District of Columbia. Simon's areas of expertise include financial planning, portfolio management for individuals and businesses, and selection of other advisors. Simon is committed to providing his clients with personalized financial advice and guidance.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
10/01/2016 - Present
J.p. Morgan Securities LLC (New York NY)
NY
12/04/2014 - 10/01/2016
J.P. MORGAN CLEARING CORP. (BROOKLYN NY)
FL
10/01/2012 - 12/04/2014
J.P. MORGAN SECURITIES LLC (TAMPA FL)
FL
07/18/2002 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (TAMPA FL)
NY
12/04/2000 - 08/20/2001
AXA ADVISORS, LLC (NEW YORK NY)
CA
07/24/2000 - 11/10/2000
LEGACY FINANCIAL SERVICES, INC. (PETALUMA CA)
AZ
09/09/1999 - 01/10/2000
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
BOTH
Issued 02/20/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/27/2022
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/2000
Series 7 - General Securities Representative Examination
BC
Issued 09/07/1999
Series 6 - Investment Company Products/Variable Contracts 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 Simon James is the right advisor for you? Invested Better is here to help.
