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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 Patrick Curtin is a financial advisor at Wells Fargo Clearing Services, LLC with over 23 years of experience in the financial services industry. James Patrick Curtin has a Series 7, Series 63 and Series 65 licenses. Prior to joining Wells Fargo Clearing Services, LLC, James Patrick Curtin worked at HSBC Securities (USA) Inc and HSBC Brokerage (USA) Inc. James Patrick Curtin has a deep understanding of the financial markets and a commitment to providing clients with personalized financial advice. James Patrick Curtin specializes in investments and financial planning for individuals and families, as well as for businesses and institutions.
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
NY
06/02/2021 - Present
Wells Fargo Clearing Services, LLC (PURCHASE NY)
NY
01/01/2005 - 09/23/2019
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
05/24/1999 - 01/01/2005
HSBC BROKERAGE (USA) INC. (NEW YORK NY)
NY
01/29/1996 - 05/18/1999
M.S. FARRELL & COMPANY, INC. (SYOSSET NY)
IA
Issued 09/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/06/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/26/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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