Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Winnert is an active investment advisor representative with Wells Fargo Clearing Services, LLC, based in Orchard Park, NY. James is a well-established professional in the financial services industry, having been active since 1997. Before joining Wells Fargo, James was affiliated with LPL FINANCIAL LLC and M&T SECURITIES, INC.. James has experience in providing investment advice and financial planning services to individuals, corporations, and institutional clients. James's specializations include a broad range of financial products and services.
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
NY
07/27/2023 - Present
Wells Fargo Clearing Services, LLC (ORCHARD PARK NY)
NY
06/09/2021 - 08/07/2023
LPL FINANCIAL LLC (WEST SENECA NY)
NY
11/20/2002 - 06/09/2021
M&T SECURITIES, INC. (WEST SENECA NY)
NJ
10/12/2000 - 11/18/2002
CITISTREET EQUITIES LLC (SOMERSET NJ)
NY
03/26/1999 - 10/03/2000
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
03/06/1997 - 03/01/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
09/30/1996 - 12/12/1996
GKN SECURITIES CORP. (NEW YORK NY)
BOTH
Issued 04/06/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/27/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/28/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 09/28/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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