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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hofheimer is a financial advisor with over 23 years of experience in the industry. James is currently registered with Morgan Stanley in Illinois, North Carolina and Texas. James has previously worked with Rothschild Investment Corporation, Morgan Stanley and Citigroup Global Markets Inc. James has a strong understanding of the financial markets and a commitment to providing clients with personalized advice and investment strategies. James holds a Series 3, 7, 63 and 66 licenses, and the SIE designation.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NC
02/20/2024 - Present
Morgan Stanley (WEAVERVILLE NC)
IL
06/16/2014 - 08/04/2017
ROTHSCHILD INVESTMENT CORPORATION (CHICAGO IL)
IL
06/01/2009 - 06/25/2014
MORGAN STANLEY (CHICAGO IL)
IL
02/03/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
NY
03/02/1999 - 02/06/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 08/09/2023
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 03/15/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/05/2023
Series 7TO - General Securities Representative Examination
BC
Issued 08/01/2023
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/1999
Series 3 - National Commodity Futures Examination
BC
Issued 03/01/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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