Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Botte is a financial advisor with Wells Fargo Clearing Services, LLC in Saint Louis, Missouri. James has been working in the financial industry since 2009. He has experience working with clients across a wide range of industries and is committed to providing comprehensive and personalized financial advice. Prior to joining Wells Fargo, James worked at several other financial institutions including Citigroup Global Markets Inc., J.P. Morgan Securities LLC, UBS Financial Services Inc. and Chase Investment Services Corp. James holds Series 6, 7TO, 9, 63 and SIE licenses. James and Wells Fargo Clearing Services, LLC are committed to providing clients with a wide range of services including financial planning, portfolio management, investment consulting, and selection of other advisers.
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.
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2
MO
08/26/2019 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
NY
03/03/2016 - 05/08/2019
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/23/2015 - 02/22/2016
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NJ
06/19/2013 - 03/31/2015
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
10/28/2011 - 06/07/2013
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NJ
10/20/2008 - 10/31/2011
CHASE INVESTMENT SERVICES CORP. (JERSEY CITY NJ)
BC
Issued 11/03/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/10/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/26/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/2008
Series 6 - Investment Company Products/Variable Contracts 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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