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 Willis is a financial advisor with over 4 years of experience in the industry. James has a wide range of experience working with clients at Fidelity Brokerage Services LLC and TIAA-CREF Individual & Institutional Services, LLC. James is currently registered with Vanguard Marketing Corp. as a broker-dealer. James holds Series 6, 7, 63, and 65 licenses as well as the SIE exam. James is registered to provide investment advice in all 50 states and the District of Columbia.
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.
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.
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2
TX
11/20/2023 - Present
Vanguard Marketing Corp. (Plano TX)
TX
12/24/2021 - 05/31/2022
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
04/25/2018 - 06/17/2021
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (LEWISVILLE TX)
IA
Issued 08/05/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/11/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/23/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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