Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carps is a financial advisor with over 30 years of experience in the industry. James is registered with Stifel, Nicolaus & Company, Inc. and holds licenses in both Ohio and Texas. James previously worked for WELLS FARGO ADVISORS, LLC and A. G. EDWARDS & SONS, INC. in Ohio and H.D. VEST INVESTMENT SECURITIES, INC. in Texas. James offers various financial services, including financial planning, pension consulting, and portfolio management for individuals and businesses.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
09/30/2013 - Present
Stifel, Nicolaus & Company, Inc. (FAIRLAWN OH)
OH
01/01/2008 - 03/13/2013
WELLS FARGO ADVISORS, LLC (MEDINA OH)
OH
04/28/1994 - 01/03/2008
A. G. EDWARDS & SONS, INC. (MEDINA OH)
TX
11/16/1992 - 04/20/1994
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
IA
Issued 11/07/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/17/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/27/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/12/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 06/24/1994
Series 7 - General Securities Representative Examination
BC
Issued 11/10/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX 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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