Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wiley is an investment advisor representative at Wealth Enhancement Advisory Services, LLC, located in Plymouth, MN. James has been working in the financial services industry for over 30 years. James has passed the Series 3, 6, 7, 63 and 65 exams and is registered with the state of Pennsylvania as an Investment Advisor Representative. Before joining Wealth Enhancement Advisory Services, LLC, James worked at PURSHE KAPLAN STERLING INVESTMENTS, Morgan Stanley Smith Barney and Morgan Stanley & Co. Incorporated. James is also the author of *Your Handbook of Personal Finance*. James specializes in providing financial planning, portfolio management, and educational seminars to high net worth individuals, corporations, pension and profit-sharing plans, charitable organizations, and other investment advisors.
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.
Personalized portfolio management to meet individual financial objectives.
Erisa 3(38) investment manager
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.
A percentage of the total value of assets under management is charged.
Fees received from third party investment advisors
1
2
MN
06/03/2019 - Present
Wealth Enhancement Advisory Services, LLC (PLYMOUTH MN)
PA
10/02/2009 - 06/14/2019
PURSHE KAPLAN STERLING INVESTMENTS (WEST CONSHOHOCKEN PA)
PA
06/01/2009 - 10/05/2009
MORGAN STANLEY SMITH BARNEY (WEST CONSHOHOCKEN PA)
PA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WEST CONSHOHOCKEN PA)
PA
06/20/1984 - 04/02/2007
MORGAN STANLEY DW INC. (WEST CONSHOHOCKEN PA)
NA
08/12/1983 - 02/13/1987
FIRST INVESTORS CORPORATION
IA
Issued 04/01/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/18/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/1987
Series 3 - National Commodity Futures Examination
BC
Issued 06/16/1984
Series 7 - General Securities Representative Examination
BC
Issued 08/11/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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