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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 Oliver Ritchie is an active financial advisor with over 20 years of experience in the industry. James currently works with Wells Fargo Advisors Financial Network, LLC, where has been employed since April 2016. Prior to joining Wells Fargo, James was employed by Morgan Stanley Smith Barney, Morgan Stanley Private Bank, National Association, and Wachovia Securities, LLC. James holds Series 7, 63, 65 and SIE licenses.
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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CA
04/22/2016 - Present
Wells Fargo Advisors Financial Network, LLC (LAGUNA NIGUEL CA)
CA
06/01/2009 - 05/09/2016
MORGAN STANLEY (IRVINE CA)
CA
12/11/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (IRVINE CA)
CA
09/29/2006 - 12/18/2008
WACHOVIA SECURITIES, LLC (MISSION VIEJO CA)
CA
10/11/2001 - 10/09/2006
CITIGROUP GLOBAL MARKETS INC. (LAGUNA NIGUEL CA)
MI
11/13/1997 - 10/16/2001
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
IA
Issued 04/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/1998
Series 7 - General Securities Representative Examination
BC
Issued 11/12/1997
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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