Unclaimed
James Wooten is a financial professional with experience in the securities industry. James is currently registered with Charles Schwab & Co., Inc. and has been with the firm since September 2018. Previously, James was registered with TD Ameritrade, Inc. from June 2023 to December 2023. James is a licensed securities professional with Series 7, 9, 10 and 63 licenses.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
AZ
09/05/2018 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
NE
06/28/2023 - 12/31/2023
TD AMERITRADE, INC. (OMAHA NE)
BC
Issued 09/15/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/09/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/16/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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