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 Thomson is a financial advisor with Wells Fargo Clearing Services, LLC. James has over 17 years of experience in the financial services industry. James holds the Series 6, 7, 63, and 66 securities licenses. James specializes in providing financial planning, portfolio management, and investment consulting services to individuals, businesses, and institutions.
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
FL
12/15/2015 - Present
Wells Fargo Clearing Services, LLC (JENSEN BEACH FL)
FL
01/14/2011 - 12/03/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (STUART FL)
FL
06/03/2009 - 01/21/2011
UBS FINANCIAL SERVICES INC. (PALM BEACH GARDENS FL)
FL
07/27/2007 - 04/28/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (STUART FL)
BOTH
Issued 07/21/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/07/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2009
Series 7 - General Securities Representative Examination
BC
Issued 07/26/2007
Series 6 - Investment Company Products/Variable Contracts 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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