Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anthony Sterling is an active Registered Representative with over 29 years of experience in the financial services industry. James Sterling is currently affiliated with Raymond James Financial Services Advisors, Inc., a firm registered with the Securities and Exchange Commission (SEC) and with Financial Industry Regulatory Authority (FINRA), which has a main office in Saint Petersburg, Florida. Before James Sterling was with Raymond James Financial Services Advisors, Inc., he held positions at WELLS FARGO ADVISORS, LLC, A. G. EDWARDS & SONS, INC., UBS PAINEWEBBER INC., BARABAN SECURITIES, INC. and TAMARON INVESTMENTS, INC. James Sterling has passed the Series 7, Series 63, Series 65, and Series 24 exams.
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
MD
01/01/2025 - Present
Raymond James Financial Services Advisors, Inc. (BEL AIR MD)
MD
01/01/2008 - 05/13/2014
WELLS FARGO ADVISORS, LLC (BEL AIR MD)
MD
11/30/2001 - 01/03/2008
A. G. EDWARDS & SONS, INC. (BEL AIR MD)
NJ
06/05/1995 - 12/07/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
CA
10/07/1994 - 06/08/1995
BARABAN SECURITIES, INC. (LOS ANGELES CA)
CO
04/08/1994 - 10/07/1994
TAMARON INVESTMENTS, INC. (ENGLEWOOD CO)
IA
Issued 06/29/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/22/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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