Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Duffy is a financial advisor with over 25 years of experience in the industry. James is registered with Wells Fargo Clearing Services, LLC and has worked with Wells Fargo Advisors LLC for over 13 years. James is licensed in several states and has a range of certifications including Series 6, 7, 26, 63 and 65. In addition to his work with Wells Fargo Clearing Services, LLC, James also has experience with Prudential Securities Incorporated and Prudential Investment Management Services LLC. James focuses on providing financial planning, portfolio management, and investment consulting services to individuals, businesses, and institutions.
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
PA
06/26/2003 - Present
Wells Fargo Clearing Services, LLC (WILKES BARRE (PLAINS) PA)
NY
08/14/1998 - 09/20/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
01/01/1997 - 07/31/1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NJ
12/20/1996 - 03/11/1997
PRUDENTIAL RETIREMENT SERVICES, INC. (NEWARK NJ)
IA
Issued 10/23/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/19/1996
Series 6 - Investment Company Products/Variable Contracts 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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