Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ong is a financial advisor with Wells Fargo Clearing Services, LLC. James has over 18 years of experience in the financial services industry. James is registered with the state of California and Texas. James holds Series 7, 31, and 66 licenses as well as the SIE exam. James specializes in providing financial planning, portfolio management, and investment consulting services to individuals and businesses. James is also a registered investment advisor with the state of California. James has experience working with high-net-worth individuals, corporations, and other businesses. James is committed to providing his clients with personalized financial advice and investment strategies to help them achieve their financial goals.
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
04/09/2020 - Present
Wells Fargo Clearing Services, LLC (CUPERTINO CA)
CA
10/23/2009 - 03/22/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
01/06/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SAN JOSE CA)
NY
10/06/2004 - 01/12/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 10/29/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/04/2004
Series 7 - General Securities 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
Not sure James Ong is the right advisor for you? Invested Better is here to help.
