Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mooney Miller is a financial advisor with over 30 years of experience in the financial services industry. James is currently registered with Wells Fargo Clearing Services, LLC and holds registrations in several states. James has previously worked with Morgan Stanley and Citigroup Global Markets Inc. James is a Series 7, Series 63, and Series 65 licensed financial advisor.
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
MI
02/06/2024 - Present
Wells Fargo Clearing Services, LLC (EAST LANSING MI)
MI
06/01/2009 - 02/08/2024
MORGAN STANLEY (East Lansing MI)
MI
11/19/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (EAST LANSING MI)
MI
08/19/1993 - 11/21/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EAST LANSING MI)
IA
Issued 09/13/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/1993
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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