Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moore Whaley is a financial advisor with over 30 years of experience in the industry. James has been a registered representative with Osaic Wealth, Inc. since January 2024, having previously served as a financial advisor at Woodbury Financial Services, Inc. James is a Certified Financial Planner™ professional who is dedicated to helping clients achieve their financial goals. James specializes in financial planning, portfolio management, and pension consulting. He is committed to providing personalized advice and guidance to help clients make informed decisions about their finances. James is registered to offer investment advisory services in Texas.
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.
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
TX
01/19/2024 - Present
Osaic Wealth, Inc. (HOUSTON TX)
TX
03/01/2019 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (HOUSTON TX)
TX
12/01/2006 - 03/01/2019
QUESTAR CAPITAL CORPORATION (HOUSTON TX)
TX
07/22/2016 - 09/06/2016
SAGEPOINT FINANCIAL, INC. (HOUSTON TX)
TX
12/21/2000 - 12/01/2006
USALLIANZ SECURITIES, INC. (HOUSTON TX)
NY
05/03/1999 - 12/12/2000
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NY
02/08/1993 - 05/03/1999
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
BOTH
Issued 12/17/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1996
Series 7 - General Securities Representative Examination
BC
Issued 11/23/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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