James A. Emslie
Professional summary
James Albert Emslie is a registered financial professional currently at SYNERGY ADVISORS, LLC located in El Segundo, California.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Albert Emslie's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2004 - Present
SYNERGY ADVISORS, LLC
Office #1: 880 Apollo Street Suite 230, El Segundo, CA 90245Office #2: 880 Apollo Street Suite 230, El Segundo, CA 90245October 1, 1998 - March 3, 2004
BANC OF AMERICA SECURITIES LLC
June 9, 1998 - October 1, 1998
BANCAMERICA SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/14/2010)
(12/6/2004)
(8/26/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SYNERGY ADVISORS, LLC
CRD#: 128264 / SEC#: , 8-66114
Contact information
FINRA licenses (12 States and Territories)
Documents
Red Flags
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