Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Ulrick is a financial advisor registered with Farther. James has been in the industry for over 16 years and has worked for several well-known financial institutions including PNC Investments, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Charles Schwab & Co., Inc. James is registered to provide investment advice in Colorado and Texas. James is a holder of the Series 6, 7, and 66 licenses, and the SIE exam. James has experience providing financial advice to individuals, high-net-worth individuals, and pension plans. In addition to financial planning, James also provides investment management services.
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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
CA
08/08/2023 - Present
Farther (SAN FRANCISCO CA)
CO
04/14/2022 - 07/27/2023
PNC INVESTMENTS (FORT COLLINS CO)
CO
11/01/2021 - 03/31/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FORT COLLINS CO)
CO
04/29/2008 - 11/23/2021
CHARLES SCHWAB & CO., INC. (Fort Collins CO)
TX
03/20/2007 - 03/18/2008
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
11/10/2006 - 01/16/2007
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (WESTLAKE TX)
BOTH
Issued 06/11/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/15/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2007
Series 7 - General Securities Representative Examination
BC
Issued 11/09/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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