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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Galloway is a financial advisor with Raymond James & Associates, Inc. in Winston-Salem, North Carolina. James has been in the financial services industry since 1997. James specializes in portfolio management, financial planning, and pension consulting. James holds Series 7, Series 63 and Series 65 licenses. James is also a member of the Finance/Investment Committee at Summit School and the Advisory Council Development sub-committee at Winston-Salem Street School.
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.
Please see note in schedule d - miscellaneous
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
NC
09/06/2016 - Present
Raymond James & Associates, Inc. (Winston-Salem NC)
NC
01/13/2001 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (WINSTON-SALEM NC)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
01/21/1997 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
IA
Issued 02/19/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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