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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 Horgan is a financial advisor with over 40 years of experience in the financial industry. He is currently registered with Morgan Stanley and has been with the firm since 2009. Previously, James Horgan worked at MORGAN STANLEY & CO. INCORPORATED, MORGAN STANLEY DW INC., MERCER GLOBAL SECURITIES LLC, FINANCIAL NETWORK INVESTMENT CORPORATION, AMERICAN PACIFIC SECURITIES CORPORATION, RAYMOND JAMES & ASSOCIATES, INC., VANCASPEL & CO., INCORPORATED, ANCHOR NATIONAL FINANCIAL SERVICES, INC., and UNIVERSAL HERITAGE INVESTMENTS CORPORATION. James Horgan is licensed to provide investment advice in Alabama, Arizona, California, Florida, Illinois, Indiana, Louisiana, Mississippi, New Hampshire, New Mexico, New York, North Carolina, Oklahoma, South Carolina, Texas, Virginia, Washington, and Wisconsin. James Horgan holds a Series 63 and Series 65 license and is a registered representative with FINRA. James Horgan specializes in providing investment advice to individuals, corporations, businesses, investment companies, charitable organizations, and insurance companies.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
06/01/2009 - Present
Morgan Stanley (The Woodlands TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (THE WOODLANDS TX)
TX
05/25/2000 - 04/02/2007
MORGAN STANLEY DW INC. (THE WOODLANDS TX)
CA
07/07/1999 - 04/20/2000
MERCER GLOBAL SECURITIES LLC (IRVINE CA)
CA
07/03/1997 - 02/19/1998
MERCER GLOBAL SECURITIES LLC (IRVINE CA)
CA
04/10/1989 - 07/20/1995
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
NA
07/20/1987 - 04/10/1989
AMERICAN PACIFIC SECURITIES CORPORATION
NA
05/29/1987 - 07/27/1987
RAYMOND JAMES & ASSOCIATES, INC.
NA
03/13/1987 - 06/05/1987
VANCASPEL & CO., INCORPORATED
NA
01/22/1982 - 03/12/1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
NA
05/08/1980 - 01/06/1982
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
IA
Issued 05/07/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/1990
Series 7 - General Securities Representative Examination
BC
Issued 05/01/1980
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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