Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dietrich Waltman is a registered investment advisor with Wells Fargo Clearing Services, LLC. James has been in the financial services industry since 2000 and has a wide range of experience in providing financial advice to individuals, businesses and institutional clients. James holds the Series 7, Series 24, Series 63, and Series 65 licenses, and has earned several industry certifications, including the Certified Financial Planner (CFP) designation. James is committed to providing clients with personalized financial advice and guidance to help them achieve their financial goals.
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
NJ
03/08/2019 - Present
Wells Fargo Clearing Services, LLC (PRINCETON NJ)
NJ
04/07/2006 - 03/19/2019
UBS FINANCIAL SERVICES INC. (PRINCETON NJ)
NY
08/07/2003 - 04/13/2006
AXA ADVISORS, LLC (NEW YORK NY)
OR
06/06/2002 - 07/31/2003
M HOLDINGS SECURITIES, INC. (PORTLAND OR)
VT
04/27/2000 - 04/04/2002
BRIDGMAN-BOURGER SECURITIES CORP. (HINESBURG VT)
NJ
02/16/2000 - 03/22/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 11/13/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/23/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/31/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2000
Series 7 - General Securities 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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