Unclaimed
James Josiah Stagg is a financial advisor with over 24 years of experience in the industry. James is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2011. Prior to joining Wells Fargo Clearing Services, James was with Morgan Stanley Smith Barney and Morgan Stanley & Co. Incorporated. James is licensed to provide investment advice in Arizona, California, Colorado, Florida, Idaho, Iowa, Louisiana, Massachusetts, Montana, Nevada, New Jersey, New York, North Carolina, Oregon, Texas, and Washington. James holds Series 7, Series 31, and Series 63 licenses.
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
CA
03/31/2020 - Present
Wells Fargo Clearing Services, LLC (ROSEVILLE CA)
CA
06/01/2009 - 05/02/2011
MORGAN STANLEY SMITH BARNEY (ROSEVILLE CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ROSEVILLE CA)
CA
06/30/1999 - 04/02/2007
MORGAN STANLEY DW INC. (ROSEVILLE CA)
NJ
02/18/1998 - 07/26/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 03/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/1998
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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