Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Clardy is a financial advisor with Wells Fargo Clearing Services, LLC based in Charlotte, NC. James has been in the industry since December 1997 and is registered with FINRA and the state of North Carolina. James is a registered representative and an investment advisor. He has also been registered in a variety of states including Arizona, California, Georgia, Illinois, Massachusetts, Mississippi, North Carolina, South Carolina, and Tennessee. James is a Series 7, Series 65, and Series 66 licensed holder. Prior to joining Wells Fargo Clearing Services, LLC, James was with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Charlotte, NC.
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
NC
08/02/2018 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
12/18/1997 - 08/03/2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
IA
Issued 07/17/2002
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 02/13/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1997
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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