Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mooreland is a financial advisor with over 20 years of experience in the financial services industry. James has held a variety of roles at firms like Merrill Lynch, Morgan Stanley and Woodbury Financial Services, Inc. Currently, James is a registered representative and investment advisor representative with Osaic Wealth, Inc. James provides financial planning services to individuals and families, including retirement planning, college savings planning, and estate planning. He also provides investment management services to a range of clients. James is committed to providing his clients with personalized advice and guidance to help them achieve their financial goals. James holds the Series 7, Series 31, Series 63 and Series 65 licenses. 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.
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.
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.
A percentage of the total value of assets under management is charged.
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2
MN
01/19/2024 - Present
Osaic Wealth, Inc. (WOODBURY MN)
MN
09/02/2008 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (WOODBURY MN)
CA
05/24/2002 - 09/08/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FOLSOM CA)
NY
07/27/1999 - 05/28/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
CO
02/05/1999 - 08/10/1999
MULTI-FINANCIAL SECURITIES CORPORATION (GREENWOOD VILLAGE CO)
IA
Issued 08/19/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 01/19/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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