Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mooney is a financial advisor with over 20 years of experience in the financial services industry. James is currently registered with Cadaret, Grant & Co., Inc. and has previously held positions at Santander Securities LLC, VOYA Financial Advisors, Inc. and Wells Fargo Advisors, LLC. James holds a Series 7, Series 31, Series 63 and Series 65 license and is a member of FINRA and the Securities Investor Protection Corporation (SIPC). James specializes in providing investment advice to individuals, families, and businesses, with a focus on financial planning, portfolio management, and retirement planning. James provides a range of services, including personalized financial plans, investment management, and insurance planning.
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.
1
2
PA
08/01/2022 - Present
Cadaret, Grant & CO., Inc. (NEW BRITAIN PA)
PA
02/10/2016 - 08/01/2022
SANTANDER SECURITIES LLC (Kennett Square PA)
PA
06/26/2012 - 02/03/2016
VOYA FINANCIAL ADVISORS, INC. (CONSHOHOCKEN PA)
PA
10/01/2004 - 06/26/2012
WELLS FARGO ADVISORS, LLC (JENKINTOWN PA)
NY
04/28/2000 - 10/06/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 09/22/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/05/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 04/27/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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