Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gunn is a financial advisor with over 30 years of experience in the industry. James has worked with Wells Fargo Clearing Services, LLC since 2021 and previously held positions with Morgan Stanley, Wells Fargo Advisors, LLC, Prudential Securities Incorporated, PaineWebber Incorporated, and Dean Witter Reynolds Inc. James specializes in providing financial advice to high-net-worth individuals, corporations, and charitable organizations. James is registered in several states and holds Series 7, 31, 63, and 65 licenses.
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
WA
04/27/2021 - Present
Wells Fargo Clearing Services, LLC (Spokane WA)
CA
09/13/2010 - 05/12/2021
MORGAN STANLEY (SAN JOSE CA)
WA
07/01/2003 - 09/15/2010
WELLS FARGO ADVISORS, LLC (SPOKANE WA)
NY
07/05/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
04/03/1995 - 07/19/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/20/1988 - 04/06/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 11/05/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/09/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1988
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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