Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Jonathan Goudy is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. James has been in the financial industry since May 29, 2018. James's professional licenses and registrations include Series 6, Series 7, Series 63, and Series 66. James has been registered with the state of Colorado since May 30, 2018. James's current firm has offices in Highlands Ranch and Greenwood Village, Colorado. James has previously worked at Wells Fargo Bank, NA.
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
04/13/2022 - Present
Wells Fargo Clearing Services, LLC (HIGHLANDS RANCH CO)
BOTH
Issued 03/15/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/11/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/17/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2018
Series 6 - Investment Company Products/Variable Contracts 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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