Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Grant Bechtold 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 been with the firm since 2011. Previously, James was a registered representative with UBS Financial Services Inc. and Smith Barney Inc. James holds a variety of licenses and registrations, including Series 7, Series 63, Series 65, Series 1, Series 5, Series 15, and SIE. James specializes in working with individuals, businesses, and institutions.
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
CA
11/20/2018 - Present
Wells Fargo Clearing Services, LLC (IRVINE CA)
CA
03/05/1996 - 12/20/2011
UBS FINANCIAL SERVICES INC. (IRVINE CA)
NY
10/13/1986 - 02/29/1996
SMITH BARNEY INC. (NEW YORK NY)
NA
10/01/1978 - 10/24/1986
KIDDER, PEABODY & CO. INCORPORATED
NA
09/01/1972 - 09/30/1973
MAYFLOWER SECURITIES CO., INC.
IA
Issued 01/17/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/1987
Series 15 - Foreign Currency Options Examination
BC
Issued 02/10/1982
Series 5 - Interest Rate Options Examination
BC
Issued 09/23/1978
PC - AMEX Put and Call Exam
BC
Issued 09/23/1978
Series 7 - General Securities Representative Examination
BC
Issued 08/23/1972
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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