Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Brian Murdock is an experienced financial professional with over two decades of experience in the industry. James has a broad range of experience in the financial services industry and holds licenses in the state of North Carolina. James has a strong track record of success in investment banking, securities, and operations. James is currently registered with Wells Fargo Securities, LLC and previously worked for Wachovia Capital Markets, LLC and Wachovia Securities, LLC.
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.
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.
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2
NC
10/25/2011 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NC
07/01/2003 - 08/25/2004
WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)
MO
05/14/2002 - 07/01/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BC
Issued 08/12/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/26/2013
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/24/2011
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 05/13/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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