Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edwin Thompson is a financial advisor with Wells Fargo Advisors Financial Network, LLC based in Boston, MA. James Thompson has 30 years of experience in the financial industry. James Thompson is licensed to provide investment advice and securities trading services in Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Idaho, Illinois, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, Oklahoma, Oregon, Pennsylvania, Rhode Island and Virginia. James Thompson holds Series 7, 9, 10, 63 and 65 licenses as well as the SIE exam. James Thompson provides investment consulting services to institutional clients, in addition to financial planning, pension consulting, selection of other advisors, portfolio management for businesses and individuals.
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.
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2
MA
09/13/2010 - Present
Wells Fargo Advisors Financial Network, LLC (BOSTON MA)
NY
01/12/2001 - 07/20/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/09/1998 - 01/25/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/13/1991 - 11/20/1998
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
01/16/1991 - 05/13/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
CO
03/08/1990 - 04/12/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
IA
Issued 08/18/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/05/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/19/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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