Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ostrowski is a financial advisor at Wells Fargo Clearing Services, LLC, a firm with over $10 billion in assets under management. James has been in the financial industry since 2001 and has experience working with a variety of clients, including individuals, corporations, and charitable organizations. James is licensed to offer investment advice in California.
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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CA
11/26/2012 - Present
Wells Fargo Clearing Services, LLC (LOS ANGELES CA)
CA
06/01/2009 - 11/20/2012
MORGAN STANLEY (LOS ANGELES CA)
CA
08/25/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
CA
08/12/2006 - 08/14/2008
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
CA
07/07/2005 - 08/12/2006
PIPER JAFFRAY & CO. (SAN FRANCISCO CA)
CA
11/30/2004 - 07/05/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MO
10/15/2001 - 09/23/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
06/28/2001 - 09/18/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 03/03/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/20/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/12/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/09/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2001
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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