Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Douglas Johnson is a financial professional with over 30 years of experience in the industry. James is currently registered with TIAA-CREF Individual & Institutional Services, LLC. James holds Series 3, 6, 7 and SIE licenses, as well as the Series 63 state exam. James specializes in providing financial planning, portfolio management for individuals and selection of other advisors.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
WA
06/17/2011 - Present
Tiaa-Cref Individual & Institutional Services, LLC (SEATTLE WA)
NV
03/09/1998 - 11/04/1998
FINANCIAL WEST GROUP (RENO NV)
CA
07/02/1997 - 12/10/1997
BANCAMERICA ROBERTSON STEPHENS (SAN FRANCISCO CA)
TX
05/03/1995 - 07/15/1997
FIRST SOUTHWEST COMPANY (DALLAS TX)
NA
03/12/1993 - 05/05/1995
ALEX. BROWN & SONS INCORPORATED
NY
07/25/1987 - 05/15/1989
MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)
NY
06/20/1984 - 05/15/1989
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BC
Issued 06/24/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2014
Series 7 - General Securities Representative Examination
BC
Issued 06/16/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/23/1985
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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