Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Daniel Carpentier-levy is a financial professional with over 15 years of experience in the financial services industry. James is currently registered with Wells Fargo Clearing Services, LLC as a Registered Representative and Investment Advisor Representative in California and Texas. James has held previous positions at Morgan Stanley & Co. Incorporated and World Group Securities, Inc. James has a broad range of experience and holds multiple licenses and certifications, including Series 7, 6, 31, 63, and 65. James specializes in providing financial advice and portfolio management services to individuals, businesses, and institutions.
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.
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2
CA
08/29/2024 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
09/29/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (REDLANDS CA)
CA
05/26/2008 - 07/11/2008
WORLD GROUP SECURITIES, INC. (POMONA CA)
IA
Issued 10/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 09/25/2008
Series 7 - General Securities Representative Examination
BC
Issued 05/23/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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