Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kurtis Swope is a financial advisor with Morgan Stanley. James has been in the industry since September 1989. James is registered with the states of Arizona, Arkansas, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Michigan, Missouri, Nevada, New Mexico, New York, Ohio, Oklahoma, South Carolina, Tennessee, Texas, Utah, Virginia and Wisconsin. James specializes in working with individuals, high-net-worth individuals, investment companies, insurance companies, pension and profit sharing plans, charitable organizations, banking or thrift institutions, corporations or other businesses, and state or municipal government entities. James has a strong background in securities, commodities, and investments. James also holds a Series 65 for Investment Advisor Law. Prior to working with Morgan Stanley, James worked with MORGAN STANLEY & CO. INCORPORATED and MORGAN STANLEY DW INC.
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
MO
06/01/2009 - Present
Morgan Stanley (Kansas City MO)
MO
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (KANSAS CITY MO)
MO
09/21/1989 - 04/02/2007
MORGAN STANLEY DW INC. (KANSAS CITY MO)
IA
Issued 10/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/20/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1989
Series 3 - National Commodity Futures Examination
BC
Issued 09/16/1989
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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