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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 Woolley is a financial advisor with Western International Securities, Inc. based in Northridge, California. James has over 30 years of experience in the financial services industry. He is registered in California and Idaho as a broker-dealer and investment advisor representative. James specializes in providing financial planning, portfolio management, and pension consulting services to individuals, corporations, and charitable organizations.
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
CA
08/21/2017 - Present
Western International Securities, Inc. (Northridge CA)
NV
11/13/2014 - 08/21/2017
FINANCIAL WEST GROUP (RENO NV)
CA
05/14/2012 - 03/05/2013
SOUTHWEST SECURITIES, INC. (BEVERLY HILLS CA)
CA
05/06/2010 - 01/06/2011
NOLLENBERGER CAPITAL PARTNERS INC. (NEWPORT BEACH CA)
CA
11/03/2008 - 05/10/2010
CHILTON & ASSOCIATES, INC. (LOS ANGELES CA)
CA
03/18/2003 - 06/27/2008
E.J. DE LA ROSA & CO., INC. (LOS ANGELES CA)
NY
01/02/2002 - 03/28/2003
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
04/15/1999 - 01/23/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
CA
05/27/1993 - 01/28/1999
STONE & YOUNGBERG LLC (SAN FRANCISCO CA)
CA
08/17/1990 - 02/03/1993
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
CA
03/31/1989 - 10/15/1990
PACIFIC SECURITIES, INC. (SAN FRANCISCO CA)
NA
01/15/1987 - 02/01/1989
J. J. KENNY TRADING, INC.
NA
01/25/1982 - 12/29/1982
KIDDER, PEABODY & CO. INCORPORATED
IA
Issued 06/10/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/21/1987
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1989
Series 3 - National Commodity Futures Examination
BC
Issued 01/16/1982
Series 7 - General Securities Representative Examination
BC
Issued 04/11/1981
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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