Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hofman is a financial advisor who has been in the industry since 2013. James is currently registered with Wells Fargo Clearing Services, LLC in both Missouri and Texas. James has a Series 66 and Series 7 license. Prior to joining Wells Fargo Clearing Services, LLC, James worked at MORGAN STANLEY. James specializes in investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. James is also involved in a variety of other business ventures, including ownership of rental properties.
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
MO
08/05/2020 - Present
Wells Fargo Clearing Services, LLC (CHESTERFIELD MO)
MO
08/21/2013 - 08/11/2020
MORGAN STANLEY (CHESTERFIELD MO)
BOTH
Issued 09/17/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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