Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Darby Barrett is a financial advisor with over 30 years of experience in the financial services industry. James is currently registered with Wells Fargo Clearing Services, LLC. Prior to joining Wells Fargo Clearing Services, LLC, James held positions at a number of other firms, including Chase Investment Services Corp., Allstate Financial Services, LLC, Wescom Financial Services, and CUSO Financial Services, L.P.. James specializes in providing financial advice to individuals, businesses, and charitable organizations. James holds the Series 7, Series 63, and Series 66 licenses, as well as the Securities Industry Essentials (SIE) exam.
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
CO
07/07/2016 - Present
Wells Fargo Clearing Services, LLC (ARVADA CO)
CO
10/17/2007 - 05/30/2012
CHASE INVESTMENT SERVICES CORP. (EVERGREEN CO)
CO
06/08/2006 - 08/31/2007
ALLSTATE FINANCIAL SERVICES, LLC (DENVER CO)
CA
08/31/2004 - 03/27/2006
WESCOM FINANCIAL SERVICES (ANAHEIM CA)
CA
08/08/2000 - 09/01/2004
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
CA
06/06/1997 - 08/21/2000
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CA
02/23/1994 - 05/22/1997
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
MN
03/20/1993 - 09/01/1993
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
03/20/1993 - 09/01/1993
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
10/09/1992 - 12/11/1992
DICKINSON & CO. (DES MOINES IA)
NY
04/02/1992 - 10/06/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 02/20/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/01/1992
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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