Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Matthew Prisby is a financial professional with over 30 years of experience in the financial services industry. James is currently registered with Wells Fargo Clearing Services, LLC and has previously held positions at Morgan Stanley, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. James has a broad range of experience, with expertise in financial planning, portfolio management, and investment consulting services to both individual and institutional clients. James holds the Certified Financial Planner designation and is licensed to provide investment advice in multiple states.
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
OH
03/20/2020 - Present
Wells Fargo Clearing Services, LLC (TOLEDO OH)
OH
06/01/2009 - 05/30/2019
MORGAN STANLEY (TOLEDO OH)
OH
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (TOLEDO OH)
OH
07/09/1998 - 04/02/2007
MORGAN STANLEY DW INC. (TOLEDO OH)
MI
03/02/1992 - 07/15/1998
OLDE DISCOUNT CORPORATION (DETROIT MI)
IA
Issued 01/18/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/13/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/23/1997
Series 24 - General Securities Principal Examination
BC
Issued 03/26/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 02/28/1992
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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