James MaguireCRD Number: 5438864
Current Firm: J.p. Morgan Securities LLC
James Maguire (CRD# 5438864) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Flint, MI and has over 10 years of experience in the finance industry.
Nfp Advisor Services, LLC
Acorn Wealth Advisors, LLC
Minder Planning Group, LLC
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Grand Blanc, MI||Jun 2016 - Current||1|
|J.p. Morgan Securities LLC||Davison, MI||Oct 2012 - Jun 2016||3|
|Chase Investment Services Corp||Flint, MI||Jan 2012 - Oct 2012||< 1|
|Jpmorgan Chase||Flint, MI||Nov 2010 - Jan 2012||1|
|Jpmorgan Chase||Burton, MI||Jan 2010 - Nov 2010||< 1|
|Jpmorgan Chase Bank Na||Davison, MI||Oct 2007 - Jan 2010||2|
|Chase Investment Services Corp||Davison, MI||Oct 2007 - Jan 2010||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2007|
|S66||NASAA Uniform Combined State Law Examination||Feb 2012|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management81,562MILLIONS
Total Number of Accounts376,424ACCOUNTS
Average Account Value$216,675
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
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- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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