Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Aloysius Gallagher is a registered representative with Wells Fargo Clearing Services, LLC. James Gallagher is a licensed investment advisor representative with Wells Fargo Advisors LLC in the Charlotte, NC area. James Gallagher has been in the securities industry since December 15, 2002. James Gallagher has passed the Series 63, 66, 7, 9, 10, and 31 exams and holds the Series SIE license. James Gallagher offers financial planning services, pension consulting and investment management to individuals and businesses. James Gallagher has been a city councilman for the City of Gastonia since December of 2019.
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
NC
05/10/2013 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
BOTH
Issued 05/09/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/24/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/16/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/14/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 12/13/2002
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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