Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Hennessy is a financial advisor with Wedbush Securities Inc. James has been in the industry since January 1990, and is currently registered with the Financial Industry Regulatory Authority (FINRA) and the State of California. James specializes in providing financial planning, portfolio management, and other advisory services to 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.
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2
CA
03/07/2007 - Present
Wedbush Securities Inc. (ROSEVILLE CA)
CA
03/09/2002 - 03/16/2007
RBC DAIN RAUSCHER INC. (ROSEVILLE CA)
CA
02/16/1993 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
01/23/1990 - 02/22/1993
F.N. WOLF & CO., INC.
IA
Issued 03/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/23/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/06/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/10/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 01/20/1990
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, 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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