Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gallagher is a financial advisor with over 30 years of experience in the industry. James has been a registered representative with Wealthpenn.comllc since January 2013. Before joining Wealthpenn.comllc, James was a registered representative with UBS Financial Services Inc. and Citigroup Global Markets Inc. James holds Series 3, 7, 63 and 65 licenses. James has a strong track record of providing financial advice to individuals, families, and businesses. James is committed to providing personalized financial advice that helps clients achieve their financial goals. James is passionate about helping clients reach their financial goals, and has a commitment to providing personalized service.
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
NJ
02/19/2020 - Present
Wealthpenn.comllc (Shrewsbury NJ)
NJ
09/30/2005 - 02/04/2013
UBS FINANCIAL SERVICES INC. (RED BANK NJ)
NY
09/14/1992 - 10/17/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 12/6/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/22/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/1992
Series 3 - National Commodity Futures Examination
BC
Issued 9/12/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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