Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lacey is a financial advisor with Wells Fargo Advisors Financial Network, LLC. James has over 25 years of experience in the financial services industry. James is licensed to provide investment advice in a number of states, including California, Hawaii, and Texas. James has a strong track record of success in helping clients reach their financial goals.
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
HI
05/13/2024 - Present
Wells Fargo Advisors Financial Network, LLC (KOLOA HI)
CA
10/23/2015 - 05/21/2024
MORGAN STANLEY (Pleasanton CA)
CA
08/10/2007 - 10/27/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN FRANCISCO CA)
NJ
09/01/2000 - 08/21/2007
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MN
11/05/1999 - 09/15/2000
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
09/23/1998 - 11/09/1999
SALOMON SMITH BARNEY INC. (NEW YORK NY)
CA
08/14/1998 - 10/09/1998
FASCO INTERNATIONAL, INC. (WALNUT CA)
IA
Issued 02/03/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/20/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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