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 Utz is a financial advisor with over 27 years of experience in the financial services industry. James is currently registered with Wells Fargo Clearing Services, LLC. Prior to joining Wells Fargo Clearing Services, LLC, James worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, AMERICAN EXPRESS FINANCIAL ADVISORS INC. and IDS LIFE INSURANCE COMPANY. James holds FINRA Series 7, 9, 10, 63 and 65 licenses. James is also a Certified Financial Planner. James has a broad range of experience in financial planning, investment management, and retirement planning. James is committed to helping clients achieve their financial goals.
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
WA
04/21/2016 - Present
Wells Fargo Clearing Services, LLC (KENNEWICK WA)
WA
11/09/1995 - 04/27/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (KENNEWICK WA)
MN
08/28/1995 - 10/03/1995
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
08/28/1995 - 10/03/1995
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 09/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/16/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/16/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/1995
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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