Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ervin Stephens is a financial advisor in Franklin, Tennessee. James is registered with Janney Montgomery Scott LLC and has been in the industry since June 1991. James holds Series 3, 7, 63 and 65 licenses, as well as the SIE exam. James is registered with the state of Ohio and Tennessee as an investment advisor. James also holds a license in Texas as a resident investment advisor. Prior to working at Janney Montgomery Scott LLC, James was registered with WELLS FARGO CLEARING SERVICES, LLC and MORGAN STANLEY DW INC.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
Fee plus commission
1
2
TN
06/22/2018 - Present
Janney Montgomery Scott LLC (Franklin TN)
TN
02/10/2005 - 05/10/2018
WELLS FARGO CLEARING SERVICES, LLC (BRENTWOOD TN)
NY
06/03/1991 - 02/11/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 04/26/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/07/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/1992
Series 3 - National Commodity Futures Examination
BC
Issued 05/29/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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