Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Marosi is a financial advisor with Wells Fargo Clearing Services, LLC. He has been in the financial services industry since September 1992. James currently has his Series 66, 7, 9, 10 and SIE licenses. He is registered with FINRA and the states of Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Iowa, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Nevada, New Hampshire, New York, North Carolina, Ohio, Pennsylvania, Tennessee, Texas and Wisconsin. James has previously worked at A. G. EDWARDS & SONS, INC. and OLDE DISCOUNT CORPORATION. James is a financial advisor with a broad range of experience. He is well-suited to help individuals and families with their financial planning needs.
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
MI
11/26/2012 - Present
Wells Fargo Clearing Services, LLC (GRAND RAPIDS MI)
MI
07/29/1994 - 01/03/2008
A. G. EDWARDS & SONS, INC. (GRAND RAPIDS MI)
MI
09/29/1992 - 07/27/1994
OLDE DISCOUNT CORPORATION (DETROIT MI)
BOTH
Issued 08/25/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/19/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/01/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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