Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ely is a financial advisor with U.S. Bancorp Investments, Inc. based in Los Angeles, California. James has over 30 years of experience in the financial services industry. He has a strong background in providing financial advice and investment management services to individuals, families, and businesses. James is committed to helping his clients achieve their financial goals and objectives.
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.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
CA
10/27/2021 - Present
U.s. Bancorp Investments, Inc. (Los Angeles CA)
CA
03/30/2015 - 10/22/2021
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
CA
05/29/2007 - 02/14/2013
CITIGROUP GLOBAL MARKETS INC. (GLENDALE CA)
CA
03/26/2003 - 05/29/2007
CITICORP INVESTMENT SERVICES (RESEDA CA)
OH
07/19/2002 - 04/04/2003
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
SC
05/01/2000 - 05/28/2002
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
MN
01/05/1998 - 05/02/2000
BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
NE
01/31/1996 - 12/31/1997
LAUGHLIN GROUP ADVISORS, INC. (LINCOLN NE)
OR
03/23/1993 - 01/31/1996
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
NY
09/18/1991 - 09/24/1992
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NY
07/17/1990 - 12/21/1990
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC. (NEW YORK NY)
NA
06/16/1988 - 05/31/1989
FIRST INVESTORS CORPORATION
BC
Issued 08/01/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/20/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/29/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/23/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1990
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1989
Series 3 - National Commodity Futures Examination
BC
Issued 06/15/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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