Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Brandt is a financial advisor with over 30 years of experience in the industry. James Brandt is registered with Wells Fargo Clearing Services, LLC. James Brandt has also been previously employed by MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., UBS FINANCIAL SERVICES INC., and PRUDENTIAL SECURITIES INCORPORATED. James Brandt is licensed in 15 states, including California, Arizona, Colorado, Florida, Idaho, Maryland, Michigan, Missouri, Nevada, Oregon, Tennessee, Virginia, and Washington. James Brandt holds the Series 3, Series 7, Series 63, and Series 65 licenses. James Brandt specializes in working with individuals, businesses, charitable organizations, and high-net-worth individuals. James Brandt offers financial planning, portfolio management, and investment consulting services.
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
CA
07/19/2019 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
06/01/2009 - 07/23/2019
MORGAN STANLEY (WALNUT CREEK CA)
CA
02/27/2009 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WALNUT CREEK CA)
CA
12/06/2002 - 03/25/2009
UBS FINANCIAL SERVICES INC. (WALNUT CREEK CA)
NY
06/23/1987 - 12/11/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 06/15/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1987
Series 3 - National Commodity Futures Examination
BC
Issued 06/20/1987
Series 7 - General Securities 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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