Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Francis Stevens is a financial advisor with over 27 years of experience in the industry. James is currently registered with Oppenheimer & Co. Inc. and has previously held positions at Wells Fargo Clearing Services, LLC, Barclays Capital Inc., Keefe, Bruyette & Woods, Inc., and Goldman, Sachs & Co. James holds a Series 7, Series 10, Series 9, Series 63, and Series 66 license. James specializes in providing financial planning, portfolio management, and pension consulting services. James is committed to helping clients achieve their financial goals.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
03/18/2022 - Present
Oppenheimer & Co. Inc. (STAMFORD CT)
NY
12/12/2014 - 03/22/2022
WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)
NY
07/07/2009 - 12/19/2014
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
10/14/2003 - 04/08/2009
KEEFE, BRUYETTE & WOODS, INC. (NEW YORK NY)
NY
10/18/1994 - 10/15/2003
GOLDMAN, SACHS & CO. (NEW YORK NY)
BOTH
Issued 01/06/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/15/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/03/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Stevens is the right advisor for you? Invested Better is here to help.
