Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you V? Claim Your ProfileV. James Carbo has been a registered financial advisor for over 18 years and has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2008. V. James Carbo has a diverse background in the financial industry, having previously worked at UBS Financial Services Inc. and HarrisDirect LLC. V. James Carbo is registered in 39 states and is licensed to provide investment advice and securities trading services. V. James Carbo specializes in providing investment advice to individuals, businesses, and institutions. V. James Carbo is committed to providing clients with personalized financial planning services. V. James Carbo holds a Series 7 and Series 66 license and has completed the SIE Exam.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MT
09/15/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WHITEFISH MT)
MT
12/17/2004 - 09/29/2008
UBS FINANCIAL SERVICES INC. (BILLINGS MT)
NJ
05/20/2004 - 11/11/2004
HARRISDIRECT LLC (JERSEY CITY NJ)
BOTH
Issued 10/20/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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