Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Monroe Tapp is a financial advisor at Wells Fargo Clearing Services, LLC. James has been a registered representative for over 29 years. James holds a Series 63, 66, 7, 9, 10, 24, 27 and 99TO licenses. James has experience in providing investment advice to individuals, corporations, charitable organizations, and pension and profit-sharing plans. James is licensed to provide investment advice in Arkansas, Massachusetts, North Carolina, Texas, and Utah.
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
NC
06/12/2023 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
MO
06/15/2002 - 07/05/2002
WACHOVIA SECURITIES FINANCIAL NETWORK, INC. (ST. LOUIS MO)
NC
06/02/2000 - 06/15/2002
CAPTRUST FINANCIAL ADVISORS, LLC (CHARLOTTE NC)
NC
02/14/2000 - 06/05/2000
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
04/20/1994 - 02/14/2000
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
BOTH
Issued 06/12/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/06/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/02/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/27/1998
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/23/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/1994
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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