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 Oszust is a financial advisor registered with Wells Fargo Clearing Services, LLC. James has been in the industry since 2011 and has previously been registered with J.P. Morgan Securities LLC and First Republic Securities Company, LLC. James holds the Series 6, 7, 63, and 66 licenses. James offers a range of services including financial planning, portfolio management for individuals, and investment consulting services to institutional clients.
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
10/22/2021 - Present
Wells Fargo Clearing Services, LLC (PALO ALTO CA)
CA
12/11/2017 - 07/14/2021
J.P. MORGAN SECURITIES LLC (SARATOGA CA)
CA
06/13/2016 - 11/29/2017
FIRST REPUBLIC SECURITIES COMPANY, LLC (Sunnyvale CA)
CA
10/01/2012 - 05/19/2016
J.P. MORGAN SECURITIES LLC (CUPERTINO CA)
CA
11/06/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (CUPERTINO CA)
BOTH
Issued 10/22/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/15/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/31/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2010
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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