Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Gracia is a financial advisor who has been working in the industry since 1989. James is currently registered with Wells Fargo Clearing Services, LLC. James has previously worked at U.S. BANCORP INVESTMENTS, INC., KEY INVESTMENT SERVICES LLC, WACHOVIA SECURITIES, LLC, U.S. BANCORP PIPER JAFFRAY INC., NYLIFE SECURITIES INC., PRINCIPAL FINANCIAL SECURITIES,INC., PAINEWEBBER INCORPORATED, OFFERMAN & COMPANY, and THE OXFORD GROUP, INC.. James is a Certified Financial Planner and holds Series 7, Series 9, Series 10, Series 63, and Series 65 licenses. James specializes in providing financial planning, portfolio management for individuals and businesses, investment consulting services to institutional clients, 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.
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
CO
09/06/2022 - Present
Wells Fargo Clearing Services, LLC (COLORADO SPRINGS CO)
CO
03/29/2010 - 06/21/2019
U.S. BANCORP INVESTMENTS, INC. (COLORADO SPRINGS CO)
CO
05/07/2009 - 03/29/2010
KEY INVESTMENT SERVICES LLC (COLORADO SPRINGS CO)
CO
06/01/2007 - 05/05/2009
WACHOVIA SECURITIES, LLC (COLORADO SPRINGS CO)
CO
04/16/2003 - 05/31/2007
U.S. BANCORP INVESTMENTS, INC. (COLORADO SPRINGS CO)
MN
02/03/2000 - 05/01/2003
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
04/24/1998 - 02/23/2000
NYLIFE SECURITIES INC. (NEW YORK NY)
TX
01/11/1994 - 03/02/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
NJ
06/19/1992 - 01/03/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MN
01/04/1990 - 06/19/1992
OFFERMAN & COMPANY (MINNEAPOLIS MN)
NA
05/23/1989 - 01/01/1990
THE OXFORD GROUP, INC.
IA
Issued 10/02/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/24/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/10/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1989
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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