Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Keyes Watts is an investment advisor representative at Wells Fargo Clearing Services, LLC, located in Corte Madera, CA. James has been in the industry since April 10, 1987, and is registered in 41 states and 2 territories. James has held previous roles at Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, Wells Fargo Securities Inc., Stephens Inc., EQ Financial Consultants, Inc., and The Equitable Life Assurance Society of the United States. James specializes in investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
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2
CA
12/04/2020 - Present
Wells Fargo Clearing Services, LLC (CORTE MADERA CA)
CA
09/21/2011 - 12/08/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MILL VALLEY CA)
CA
01/03/2011 - 09/23/2011
WELLS FARGO ADVISORS, LLC (CORTE MADERA CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (CORTE MADERA CA)
CA
10/13/1997 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
AR
06/24/1996 - 10/09/1997
STEPHENS INC. (LITTLE ROCK AR)
NY
04/08/1987 - 07/23/1996
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
04/08/1987 - 07/23/1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 04/02/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/08/1995
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1996
Series 7 - General Securities Representative Examination
BC
Issued 04/07/1987
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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