Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Booth is a financial advisor with over 20 years of experience in the financial services industry. James currently works with Wells Fargo Clearing Services, LLC in Old Greenwich, CT. James has a wide range of experience working with various clients including high-net-worth individuals, corporations, and institutions. James has a strong commitment to providing personalized financial advice and helping clients 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.
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2
CT
08/18/2022 - Present
Wells Fargo Clearing Services, LLC (OLD GREENWICH CT)
NY
08/13/2021 - 07/11/2022
LPL FINANCIAL LLC (ISLANDIA NY)
NY
03/10/2020 - 08/03/2021
PARK AVENUE SECURITIES LLC (TARRYTOWN NY)
CT
06/14/2019 - 10/07/2019
INTERNATIONAL ASSETS ADVISORY, LLC (NORWALK CT)
CT
02/14/2018 - 06/17/2019
LPL FINANCIAL LLC (NORWALK CT)
CT
12/15/2005 - 02/14/2018
INVEST FINANCIAL CORPORATION (NORWALK CT)
CT
09/21/1998 - 12/15/2005
CADARET, GRANT & CO., INC. (NORWALK CT)
IA
Issued 12/22/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/2007
Series 7 - General Securities Representative Examination
BC
Issued 09/18/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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