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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Delgado is a registered investment advisor representative with Wells Fargo Clearing Services, LLC, a firm headquartered in St. Louis, Missouri. James has been in the financial services industry since July 2016 and holds the Series 63, Series 65, and Series 7TO licenses, in addition to the Securities Industry Essentials Examination. James has experience in providing investment consulting services to institutional clients and has a particular focus on portfolio management for both individuals and businesses. James also provides financial planning and pension consulting services. James Delgado is registered to provide investment advice in Arizona, California, Connecticut, District of Columbia, Nevada, New Hampshire, Oregon, Washington, and Wisconsin.
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
03/29/2023 - Present
Wells Fargo Clearing Services, LLC (WESTLAKE VILLAGE CA)
IA
Issued 03/24/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/2019
Series 7TO - General Securities Representative Examination
BC
Issued 05/17/2019
SIE - Securities Industry Essentials 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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