Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ellis Percifield is a financial advisor with Wells Fargo Clearing Services, LLC in FORT MYERS, FL. James has over 30 years of experience in the financial services industry, having also worked for UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James holds several industry licenses including Series 7, 9, 10, 31, 63 and 65, and is registered to provide investment advice in 32 states. James specializes in providing investment consulting services to institutional clients, as well as financial planning, pension consulting, and portfolio management for individuals and businesses.
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
11/25/2014 - Present
Wells Fargo Clearing Services, LLC (FORT MYERS FL)
IL
11/12/2008 - 12/01/2014
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
IN
02/05/1992 - 11/14/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MERRILLVILLE IN)
IA
Issued 03/30/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/10/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/20/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 02/03/1992
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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