Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Laughlin is a financial advisor who has been working in the financial services industry since 1992. James is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since 2014. Prior to that, James worked at UBS Financial Services Inc. and A. G. Edwards & Sons, Inc. James holds Series 6, 7, 31, 63, 65, and SIE licenses. James specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals.
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.
1
2
MO
06/18/2014 - Present
Wells Fargo Clearing Services, LLC (CHESTERFIELD MO)
MO
05/11/2007 - 06/20/2014
UBS FINANCIAL SERVICES INC. (CHESTERFIELD MO)
MO
02/27/1996 - 05/31/2007
A. G. EDWARDS & SONS, INC. (CHESTERFIELD MO)
NY
02/10/1992 - 03/05/1996
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
IA
Issued 07/24/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 02/13/1996
Series 7 - General Securities Representative Examination
BC
Issued 02/07/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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