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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 Joseph Clause is an investment advisor representative who has been in the industry since 2004. James has a wide range of experience with previous roles at Wells Fargo Advisors, LLC, BANC OF AMERICA INVESTMENT SERVICES, INC., PNC INVESTMENTS, COMMERCE CAPITAL MARKETS, INC. and LADENBURG CAPITAL MANAGEMENT INC. Currently, James is affiliated with Morgan Stanley. James is registered with the state securities regulators in 39 states and the District of Columbia. James is also registered as an investment advisor representative with the states of New Jersey, New York and Texas. James is licensed to provide investment advice and securities related services to a broad range of clients including high-net-worth individuals, corporations and other businesses, insurance companies, banks and thrift institutions, charitable organizations, pension and profit-sharing plans, and investment clubs.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
02/07/2014 - Present
Morgan Stanley (New York NY)
NY
10/05/2010 - 11/19/2013
WELLS FARGO ADVISORS, LLC (NEW YORK NY)
NJ
08/11/2006 - 01/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (FREEHOLD NJ)
NJ
12/03/2004 - 07/28/2006
PNC INVESTMENTS (BRICK TOWN NJ)
PA
07/23/2002 - 12/01/2004
COMMERCE CAPITAL MARKETS, INC. (PHILADELPHIA PA)
NY
03/14/2002 - 04/23/2002
LADENBURG CAPITAL MANAGEMENT INC. (BETHPAGE NY)
IA
Issued 10/22/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/12/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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