Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rosensteel has been in the financial services industry since 2012. James is a registered representative with Wells Fargo Clearing Services, LLC and holds licenses to practice in 53 states. James offers a wide range of financial services, including portfolio management, financial planning, and investment consulting. James has a long history of success in the financial services industry, and is committed to providing his clients with the highest level of service.
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
NC
03/23/2018 - Present
Wells Fargo Clearing Services, LLC (RALEIGH NC)
NC
12/23/2011 - 01/14/2014
FIDELITY BROKERAGE SERVICES LLC (DURHAM NC)
IA
Issued 09/30/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/10/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2011
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
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