Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Boone Neligan is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. James is a Registered Representative (Series 7, 63, 3, SIE, 8, 9, and 10), and an Investment Advisor Representative in Texas and Virginia. James has over 38 years of experience in the financial services industry. Prior to his current position at Wells Fargo Clearing Services, LLC, James was associated with A. G. EDWARDS & SONS, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. James provides investment advisory services to a wide range of clients, including individuals, businesses, trusts, estates, and charitable organizations. James is committed to providing his clients with personalized financial advice and guidance.
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
VA
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTESVILLE VA)
VA
12/11/1991 - 01/03/2008
A. G. EDWARDS & SONS, INC. (CHARLOTTESVILLE VA)
NY
01/23/1985 - 12/13/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 02/08/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/21/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2000
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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