Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Walley is a financial advisor with Hilltop Securities Inc. located in Dallas, TX. James has been in the financial services industry since September 5, 2010. He is registered with FINRA and holds Series 7, Series 31, Series 66 and SIE licenses. James has worked with Chase Investment Services Corp., J.P. Morgan Securities LLC, and Morgan Stanley Smith Barney. James specializes in providing financial planning, portfolio management for individuals, educational seminars and publication of periodicals. James is also a Board of Management member for the YMCA in Moody, TX.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
01/22/2024 - Present
Hilltop Securities Inc. (DALLAS TX)
TX
10/01/2012 - 09/09/2023
J.P. MORGAN SECURITIES LLC (MURPHY TX)
TX
07/25/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (GARLAND TX)
TX
09/06/2010 - 08/01/2012
MORGAN STANLEY SMITH BARNEY (DALLAS TX)
BOTH
Issued 10/08/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 09/03/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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