Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Finley is an investment advisor with over 20 years of experience in the financial services industry. James is currently registered with Morgan Stanley in New York, New York. James has a strong track record of success in helping clients achieve their financial goals. James has previously held positions at Citigroup Global Markets Inc. and Wachovia Securities, LLC. James is also registered with the Securities and Exchange Commission as an Investment Advisor Representative. James is committed to providing his clients with personalized and comprehensive financial advice.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
04/02/2020 - Present
Wealthpenn.comllc (New York NY)
NY
01/19/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/01/2003 - 01/24/2007
WACHOVIA SECURITIES, LLC (NEW YORK NY)
NY
05/15/2002 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 11/4/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/14/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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