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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Andreas Wiley-frohmader is a financial advisor with over 20 years of experience in the financial services industry. James has held positions at J.P. Morgan Securities LLC and CIBC Oppenheimer Corp. James is currently registered with Morgan Stanley in New Jersey, New York, and Texas. James is a Series 3, 7, and 63 licensed advisor with a SIE designation and has passed the Series 65. James has been registered as an Investment Advisor Representative in 53 states and the District of Columbia. James is a Registered Representative and Investment Advisor Representative at Morgan Stanley.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
06/06/2014 - Present
Morgan Stanley (New York NY)
NY
12/07/1998 - 07/03/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
07/01/1997 - 11/25/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
IA
Issued 09/15/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2003
Series 3 - National Commodity Futures Examination
BC
Issued 06/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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