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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Franz James is a financial advisor with over 25 years of experience in the financial services industry. Eric currently works at Wells Fargo Clearing Services, LLC. He is registered with the state of Florida and has passed several securities exams including Series 7, 9, 10, 63, 66, and SIE. Prior to joining Wells Fargo, Eric worked at AXA Advisors, LLC and PNC Investments. Eric has experience working with a variety of clients including individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. He is committed to providing his clients with comprehensive financial planning services and investment management solutions.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
FL
07/21/2021 - Present
Wells Fargo Clearing Services, LLC (ORLANDO FL)
FL
02/13/2018 - 08/09/2019
AXA ADVISORS, LLC (ORLANDO FL)
FL
12/12/2011 - 01/17/2018
PNC INVESTMENTS (ORLANDO FL)
FL
08/31/2009 - 07/22/2011
MERRIMAC CORPORATE SECURITIES, INC. (ALTAMONTE SPRINGS FL)
FL
01/03/1996 - 10/20/2008
CHARLES SCHWAB & CO., INC. (ORLANDO FL)
FL
11/07/1994 - 12/15/1995
EURO-ATLANTIC SECURITIES INC. (BOCA RATON FL)
CO
03/30/1994 - 11/22/1994
COHIG & ASSOCIATES, INC. (ENGLEWOOD CO)
CO
10/21/1993 - 12/23/1993
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BOTH
Issued 10/30/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/02/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/20/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/13/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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