James Marshall
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Marshall, who also goes by James Marshall Jr., was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 5 firms and has passed the Series 65, Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2011 - December 31, 2012
COOPERLILY WEALTH MANAGEMENT, LLC
September 29, 2006 - January 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2006 - January 10, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 2005 - October 2, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
November 28, 2005 - October 2, 2006
FAM DISTRIBUTORS, INC.
April 15, 2004 - November 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 22, 2001 - November 28, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 7, 2001 - May 7, 2001
ICAPITAL MARKETS LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COOPERLILY WEALTH MANAGEMENT, LLC
CRD#: 157393 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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