Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lionel Wein is a financial advisor registered with Wells Fargo Clearing Services, LLC. James has been in the financial services industry since 1993 and is registered to provide investment advice in 22 states. He has a variety of experience, including working with Morgan Stanley Smith Barney, Citigroup Global Markets Inc. and Oppenheimer & Co. Inc.. James specializes in providing portfolio management services for individuals and businesses, as well as financial planning and selection of other 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.
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
NY
02/15/2013 - Present
Wells Fargo Clearing Services, LLC (PURCHASE NY)
NY
06/01/2009 - 07/01/2009
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
11/13/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
01/03/2003 - 11/10/2003
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
11/26/1993 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
IA
Issued 02/05/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1993
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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