Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames John is an active Registered Representative with Wells Fargo Clearing Services, LLC located in SALT LAKE CITY, UT. James has been in the securities industry for a little over a year, having worked for Morgan Stanley and E*TRADE SECURITIES LLC in the past. James holds Series 7TO and Series 63 securities licenses, along with the SIE exam. James' primary specialization is serving high-net-worth individuals with investment consulting services. James is a registered representative of Wells Fargo Clearing Services, 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.
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2
UT
08/21/2024 - Present
Wells Fargo Clearing Services, LLC (SALT LAKE CITY UT)
UT
06/12/2023 - 09/27/2023
MORGAN STANLEY (Sandy UT)
UT
01/01/2023 - 09/05/2023
E*TRADE SECURITIES LLC (SANDY UT)
BC
Issued 02/03/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/17/2022
SIE - Securities Industry Essentials 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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