Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Albert Powell is a financial advisor with over 30 years of experience in the financial services industry. James is currently registered with Raymond James Financial Services Advisors, Inc. and is a Certified Financial Planner. James has a wide range of experience in the financial services industry, including experience with Wells Fargo Advisors, LLC, A. G. Edwards & Sons, Inc., and Prudential-Bache Securities Inc. James is dedicated to providing his clients with personalized financial advice and helping them achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NC
01/13/2015 - Present
Raymond James Financial Services Advisors, Inc. (CHARLOTTE NC)
NY
01/01/2008 - 01/13/2015
WELLS FARGO ADVISORS, LLC (NEW YORK NY)
NY
11/14/1989 - 01/03/2008
A. G. EDWARDS & SONS, INC. (NEW YORK NY)
NY
01/09/1984 - 12/08/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
06/22/1983 - 12/27/1983
TRIPP & CO., INC.
BC
Issued 03/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/29/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/29/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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