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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 Holzapfel is a financial advisor with over 50 years of experience in the industry. He has a broad range of experience with different financial firms, including First Union Capital Markets Corp., Kidder, Peabody & Co. Incorporated, and Wells Fargo Clearing Services, LLC. James is currently registered with Morgan Stanley as a Registered Representative. His registration with Morgan Stanley extends to several states, including Alabama, Alaska, Arizona, and Arkansas. James specializes in financial planning, portfolio management, and educational seminars.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MD
06/12/2020 - Present
Morgan Stanley (Hagerstown MD)
MD
10/01/1999 - 06/17/2020
WELLS FARGO CLEARING SERVICES, LLC (HAGERSTOWN MD)
NC
05/06/1988 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NA
05/19/1978 - 05/12/1988
KIDDER, PEABODY & CO. INCORPORATED
NA
10/02/1972 - 05/19/1978
KIDDER, PEABODY & CO., INCORPORATED
BC
Issued 07/11/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/27/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1977
PC - AMEX Put and Call Exam
BC
Issued 09/28/1972
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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