Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Loomis is a financial advisor who has been in the industry since 2008. He is registered with Wells Fargo Clearing Services, LLC and has a Series 7, 63, 9, 10 and SIE licenses. James specializes in providing investment consulting services to both individual and institutional clients. He also provides financial planning and pension consulting. Prior to joining Wells Fargo, James Loomis worked at E*TRADE SECURITIES LLC and Thrivent Investment Management 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.
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
UT
02/01/2021 - Present
Wells Fargo Clearing Services, LLC (SALT LAKE CITY UT)
UT
10/26/2018 - 07/09/2019
E*TRADE SECURITIES LLC (SANDY UT)
CA
05/29/2008 - 02/06/2009
THRIVENT INVESTMENT MANAGEMENT INC. (MISSION VIEJO CA)
BC
Issued 11/07/2018
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 06/11/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/28/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/26/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/27/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2018
Series 7 - General Securities 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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