James Joseph Barton
CIMA®Professional Summary
James Joseph Barton, CIMA®, who also goes by James J Barton, Jim Barton, is a registered financial advisor currently at FIDX MARKETS LLC located in Berwyn, Pennsylvania. James is registered as a RR (Registered Representative) and started their career in finance in 2003. James has worked at 10 firms and has passed the Series 63, Series 65, Series 99TO, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 26...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James J Barton, Jim Barton
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Credentials
Years of Experience
23 years in the financial services industry
Current & Past Employments
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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Current Firm
FIDX DESK | FIDX MARKETS LLC
Contact Information
Main Address
1000 Chesterbrook Blvd Ste 100, Berwyn, PA 19312Mailing Address
1000 Chesterbrook Blvd Ste 100, Berwyn, PA 19312Phone Number
(484) 255-0210Established
Delaware since 07/01/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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State Registrations and Notice Filings
(1/4/2024)
(1/2/2024)
(1/1/2024)
(1/2/2024)
(11/29/2023)
(11/7/2023)
(1/2/2024)
(10/24/2023)
(1/3/2024)
(2/13/2024)
(11/27/2023)
(11/2/2023)
(10/24/2023)
(7/11/2024)
(11/3/2023)
(10/24/2023)
(10/24/2023)
(10/25/2023)
(10/24/2023)
(11/2/2023)
(11/2/2023)
(4/25/2024)
(10/24/2023)
(4/15/2024)
(10/24/2023)
(1/5/2024)
(10/24/2023)
(11/2/2023)
(10/26/2023)
(1/19/2024)
(1/2/2024)
(1/5/2024)
(10/24/2023)
(10/27/2023)
(11/2/2023)
(11/1/2023)
(10/24/2023)
(11/20/2023)
(9/15/2023)
(10/24/2023)
(11/7/2023)
(11/7/2023)
(1/3/2024)
(1/2/2024)
(11/7/2023)
(11/21/2023)
(1/18/2024)
(10/25/2023)
(11/2/2023)
(11/7/2023)
(11/17/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2022About the Series 6TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 2003About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 2022About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Joseph Barton's CRS (Customer Relationship Summary).
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