Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Arthur Anderson is a financial professional with over 30 years of experience in the securities industry. James has held various roles, including Principal, at several prominent firms, such as Robertson Stephens, BancAmerica Robertson Stephens, and Wells Fargo Securities. James is currently registered with Wells Fargo Securities, LLC in San Francisco, CA. James holds several FINRA licenses, including Series 7, 24, 27, 99TO and SIE.
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.
1
2
CA
03/06/2018 - Present
Wells Fargo Securities, LLC (SAN FRANCISCO CA)
CA
09/29/2015 - 08/15/2017
LOYAL3 SECURITIES INC. (SAN FRANCISCO CA)
CA
11/07/2013 - 09/30/2015
WELLS FARGO PRIME SERVICES, LLC (SAN FRANCISCO CA)
CA
01/01/2005 - 11/04/2013
MERRIMAN CAPITAL, INC. (SAN FRANCISCO CA)
CA
09/01/1998 - 05/16/2003
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
CA
10/01/1997 - 09/01/1998
BANCAMERICA ROBERTSON STEPHENS (SAN FRANCISCO CA)
CA
11/01/1988 - 10/01/1997
ROBERTSON, STEPHENS & COMPANY LLC (SAN FRANCISCO CA)
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/15/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/09/2003
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/1991
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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