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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Christopher Berti has been an active investment advisor in the financial industry since 2011. Currently, James Berti is registered with Morgan Stanley and previously worked at Wells Fargo Clearing Services, LLC, RBC Capital Markets, LLC and UBS Financial Services Inc. James Berti has a strong track record of success and is dedicated to providing his clients with personalized 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
CA
06/06/2022 - Present
Morgan Stanley (San Francisco CA)
CA
12/18/2018 - 06/01/2022
WELLS FARGO CLEARING SERVICES, LLC (SAN FRANCISCO CA)
CA
06/06/2016 - 12/19/2018
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
CA
10/01/2014 - 06/13/2016
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
CA
09/27/2011 - 10/13/2014
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
BOTH
Issued 05/23/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/26/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/15/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2011
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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