Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames M. Phillips is a financial advisor with over 25 years of experience in the industry. James is registered with Wells Fargo Clearing Services, LLC and holds a number of securities licenses, including Series 7, 9, 10, 31, 63 and 65. James has worked with Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC throughout his career. James currently offers services to individuals and businesses and has also provided investment consulting services to institutional clients.
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
OH
10/25/2017 - Present
Wells Fargo Clearing Services, LLC (KETTERING OH)
NY
09/10/1997 - 06/14/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 10/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/15/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/10/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/30/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 09/09/1997
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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