Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Joseph Pomfret is a financial professional with over 40 years of experience in the securities industry. James is currently registered with Wells Fargo Clearing Services, LLC in Lutherville, Maryland. James also has previous registrations with Morgan Stanley DW Inc., Smith Barney Shearson Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James offers a variety of financial services, including investment consulting, financial planning, pension consulting, and portfolio management for both businesses and individuals. James is a Chartered Financial Consultant and has passed numerous industry exams, including the Series 7, 63, 65, 31, and 9. James has a strong track record of success and is committed to providing his clients with personalized financial advice and guidance.
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
MD
11/27/2006 - Present
Wells Fargo Clearing Services, LLC (LUTHERVILLE MD)
MD
02/09/1994 - 11/30/2006
MORGAN STANLEY DW INC. (BALTIMORE MD)
NA
07/07/1986 - 03/08/1994
SMITH BARNEY SHEARSON INC.
NA
04/19/1983 - 07/24/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 03/16/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/03/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/26/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 05/19/1983
Series 5 - Interest Rate Options Examination
BC
Issued 04/16/1983
Series 7 - General Securities 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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