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 Willer has been in the securities industry since 1971 and has over 50 years of experience in the financial services sector. James is currently a Registered Representative with Morgan Stanley. Prior to joining Morgan Stanley, James was with Citigroup Global Markets Inc. James holds a Series 63, 65, 7, 10, 24, 15, 5, and SIE licenses and has held a Series 00, 8, and 1 license.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
IA
03/12/2019 - Present
Morgan Stanley (West Des Moines IA)
IA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DES MOINES IA)
NY
11/17/1976 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/17/1976 - 11/22/1977
SHEARSON HAYDEN STONE INC.
NA
11/16/1973 - 11/17/1976
LAMSON BROS. & CO.
NA
11/23/1971 - 12/07/1973
KIRSCH, CHANDLER, FEENEY & CO. INCORPORATED
IA
Issued 03/16/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 05/22/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/18/1972
Series 00 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/07/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/31/1977
PC - AMEX Put and Call Exam
BC
Issued 11/17/1971
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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