Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Kane is an investment advisor representative at Wells Fargo Clearing Services, LLC. James has been in the industry since July 8, 2002 and has experience with Edward Jones, Merrill Lynch, Pierce, Fenner & Smith Incorporated and UBS Financial Services Inc. James holds a Series 7, 63, and 66 license. James is registered in several states and has expertise in investment advisory services, financial planning and portfolio management. James also holds a Series 66 license.
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
11/05/2019 - Present
Wells Fargo Clearing Services, LLC (WILLIAMSVILLE NY)
NY
01/23/2009 - 11/08/2019
UBS FINANCIAL SERVICES INC. (JAMESTOWN NY)
NY
06/02/2006 - 01/27/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JAMESTOWN NY)
NY
07/09/2002 - 06/07/2006
EDWARD JONES (LAKEWOOD NY)
BOTH
Issued 09/01/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/2002
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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