Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Luke Copley is a financial advisor with Wells Fargo Clearing Services, LLC. James has been in the financial services industry since 1994. James is registered to provide investment advice and services in Alaska, California, Colorado, Connecticut, Florida, Idaho, Michigan, Missouri, New Jersey, North Carolina, Pennsylvania, South Carolina, Tennessee, Virginia and West Virginia. James holds the following securities licenses: Series 7, Series 9, Series 63, Series 65 and Series 66. James also holds the SIE exam.
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
NC
06/09/2003 - Present
Wells Fargo Clearing Services, LLC (BOONE NC)
NJ
07/13/2001 - 04/16/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
10/12/1994 - 07/19/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 10/12/2001
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/30/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/1994
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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