Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Morton is an investment advisor representative with Wells Fargo Clearing Services, LLC, based in Greenwood Village, Colorado. James has been in the financial industry since 2008. James is also registered as an Investment Advisor Representative with the state of Texas. James holds the Series 63, 65, 7, and SIE licenses. James has previously worked with Bok Financial Securities, Inc., USAA Financial Advisors, Inc., and NYLIFE Securities LLC.
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
CO
01/13/2022 - Present
Wells Fargo Clearing Services, LLC (GREENWOOD VILLAGE CO)
CO
09/17/2013 - 09/16/2016
BOK FINANCIAL SECURITIES, INC. (HIGHLANDS RANCH CO)
TX
05/10/2010 - 09/05/2013
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
OK
02/10/2009 - 03/04/2010
NYLIFE SECURITIES LLC (TULSA OK)
OK
04/25/2008 - 12/11/2008
HORNOR, TOWNSEND & KENT, INC. (TULSA OK)
IA
Issued 11/09/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/17/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/2008
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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