Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Diepenbrock is a financial advisor registered with Wells Fargo Clearing Services, LLC. James has been in the industry since 1983 and has worked for several firms including UBS Financial Services Inc., Citigroup Global Markets Inc., Morgan Stanley, and now Wells Fargo Clearing Services, LLC. James is licensed to provide investment advice in multiple states and has a Series 3, 7, 63 and 65 licenses, along with the SIE exam. James is a board member of the Sacramento County Employees' Retirement System and is also a trustee for his children's trusts.
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.
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2
CA
11/29/2022 - Present
Wells Fargo Clearing Services, LLC (SACRAMENTO CA)
CA
06/01/2009 - 08/30/2018
MORGAN STANLEY (SACRAMENTO CA)
CA
04/17/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SACRAMENTO CA)
CA
01/28/1995 - 04/28/2008
UBS FINANCIAL SERVICES INC. (SACRAMENTO CA)
NY
03/22/1983 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 01/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/02/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/1984
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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