Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gregory Gibbs is a financial professional with over 20 years of experience in the financial services industry. James has a broad background in the industry, having worked for firms like Wachovia Securities, LLC, A.G. Edwards & Sons, Inc., and Morgan Stanley DW Inc. James is currently registered as a Registered Representative and Investment Advisor Representative with Cetera Investment Advisers LLC. James holds a Series 7, 9, 31, 63, and 65 licenses. James is an active participant in the financial services industry and is committed to providing his clients with comprehensive financial planning and investment advice.
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.
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.
A percentage of the total value of assets under management is charged.
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2
KY
01/16/2024 - Present
Cetera Investment Advisers LLC (ASHLAND KY)
KY
01/06/2009 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (ASHLAND KY)
KY
01/01/2008 - 01/27/2009
WACHOVIA SECURITIES, LLC (ASHLAND KY)
KY
05/19/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ASHLAND KY)
KY
01/29/1999 - 05/19/2006
MORGAN STANLEY DW INC. (ASHLAND KY)
IA
Issued 11/02/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 01/28/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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