Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames McCabe is a financial advisor with over 25 years of experience in the industry. James is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since November 2016. James is also registered with Wells Fargo Advisors LLC and has been with the firm since January 2011. James offers a range of services including financial planning, pension consulting, investment consulting services to institutional clients, and selection of other advisors. James is licensed to conduct business in California, Texas and several other states.
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
CA
05/12/2022 - Present
Wells Fargo Clearing Services, LLC (BEVERLY HILLS CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BEVERLY HILLS CA)
CA
09/04/1996 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 02/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1996
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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