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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 Ratchford is a financial advisor with Wells Fargo Clearing Services, LLC. James has been in the financial industry since 1998 and holds Series 6, 7, 31 and 63 licenses. James also holds the Series 65 license as well as the SIE designation. James works out of the Charlotte, NC branch office. James has been with Wells Fargo Advisors, LLC since 2009. James provides financial planning and investment consulting services to a variety of clients including high-net-worth individuals, corporations, and charitable organizations. James is also a Certified Financial Planner.
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
12/11/2009 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
01/05/1999 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
MA
04/06/1998 - 01/14/1999
NATIONSBANC INVESTMENTS, INC. (BOSTON MA)
IA
Issued 12/19/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 03/29/1999
Series 7 - General Securities Representative Examination
BC
Issued 04/03/1998
Series 6 - Investment Company Products/Variable Contracts 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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