Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Waldorf is a financial advisor at Wells Fargo Clearing Services, LLC. James has been in the financial services industry since 1997. James has a Series 63, Series 65, and Series 7 license, and he has been registered with FINRA since 2006. James has experience with both individual and institutional clients. James is committed to providing his clients with comprehensive financial planning and investment management services. James also has mineral rights ownership that provides oil royalty payments from Shell Trading Company.
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
IL
11/21/2009 - Present
Wells Fargo Clearing Services, LLC (BLOOMINGTON IL)
IL
10/31/1997 - 04/05/2006
CITIGROUP GLOBAL MARKETS INC. (BLOOMINGTON IL)
IA
Issued 11/19/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/06/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1997
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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