Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Merritt is a financial professional with over 28 years of experience in the financial services industry. James has held positions with several reputable firms including Smith Barney Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley. James is currently registered with Wells Fargo Clearing Services, LLC and offers a wide range of services, including investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisers, portfolio management for businesses, and portfolio management for individuals. James is committed to providing personalized financial guidance and helping clients achieve their financial goals.
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
FL
08/27/2020 - Present
Wells Fargo Clearing Services, LLC (PALM BEACH FL)
VA
12/12/2013 - 08/24/2020
MORGAN STANLEY (MCLEAN VA)
VA
03/24/1997 - 12/16/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RESTON VA)
NY
10/24/1994 - 03/14/1997
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 04/25/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/19/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/21/1994
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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