Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stacey? Claim Your ProfileStacey James is a financial advisor with over 20 years of experience in the financial services industry. Stacey is currently registered with Citigroup Global Markets Inc. and holds a Series 63, Series 66, Series 7, Series 3, Series 9, Series 10, and Series 24 license. Stacey has previously worked at UBS Financial Services Inc., Morgan Stanley & Co. Incorporated, TD Waterhouse Investor Services, Inc., and E*TRADE Securities LLC.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
1
2
NY
11/08/2022 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NJ
06/14/2016 - 10/17/2022
E*TRADE SECURITIES LLC (Jersey City NJ)
NY
12/05/2008 - 01/12/2016
UBS FINANCIAL SERVICES INC. (NEW YORK NY)
NY
11/02/2007 - 12/09/2008
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NJ
05/12/2000 - 03/30/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (JERSEY CITY NJ)
BOTH
Issued 01/24/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/28/2024
Series 24 - General Securities Principal Examination
BC
Issued 10/25/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/08/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2015
Series 3 - National Commodity Futures Examination
BC
Issued 05/10/2000
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
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