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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lippitt is a financial advisor currently registered with Morgan Stanley. James is a Series 7 and Series 63 licensed professional, having been in the industry since 2005. James has been a part of Morgan Stanley since 2009, previously working with Morgan Stanley & Co. Incorporated and Citigroup Global Markets Inc. James has a strong history of working with a diverse client base, including individuals, corporations, and institutions. James is committed to helping clients achieve their financial goals and has a proven track record of success in the financial services industry.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
08/06/2018 - Present
Morgan Stanley (SAN RAFAEL CA)
CA
08/24/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN RAFAEL CA)
CA
09/15/2005 - 08/31/2007
CITIGROUP GLOBAL MARKETS INC. (SAN RAFAEL CA)
IA
Issued 12/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/10/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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