Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Garland Osborne is a financial advisor with over 40 years of experience in the industry. James is currently registered with Wells Fargo Clearing Services, LLC and has a proven track record of helping individuals, families, and businesses achieve their financial goals. James has worked at both Ameriprise Financial Services, LLC and Wells Fargo Advisors, LLC in the past. James is committed to providing personalized financial advice and guidance to his clients. James specializes in retirement planning, investment management, and estate planning. James is a highly qualified professional who holds several licenses and certifications, including Series 7, Series 3, Series 63, Series 65, and Series 8, 9, and 10. James is committed to providing his clients with the highest level of service and expertise.
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
OR
04/03/2024 - Present
Wells Fargo Clearing Services, LLC (EUGENE OR)
OR
11/28/2014 - 04/02/2024
AMERIPRISE FINANCIAL SERVICES, LLC (Portland OR)
OR
12/15/1997 - 12/01/2014
WELLS FARGO ADVISORS, LLC (LAKE OSWEGO OR)
NY
01/13/1984 - 12/05/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
03/09/1982 - 10/12/1983
PAINE, WEBBER, JACKSON & CURTIS INC.
IA
Issued 12/31/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/19/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/05/1994
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1982
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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