Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Murray is an active financial advisor, registered with Wells Fargo Advisors Financial Network, LLC. James has been in the financial industry since June 7, 1993. James has also worked with MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC., UBS FINANCIAL SERVICES INC. and CITIGROUP GLOBAL MARKETS INC. James is currently registered with the state of California and Texas. James holds several professional licenses and certifications including Series 3, 7, 10, 24, 63, 65 and SIE exams.
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
CA
10/11/2016 - Present
Wells Fargo Advisors Financial Network, LLC (WESTLAKE VILLAGE CA)
CA
10/23/2009 - 05/10/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
CA
10/16/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WESTLAKE VILLAGE CA)
CA
02/06/2004 - 10/31/2006
UBS FINANCIAL SERVICES INC. (OXNARD CA)
NY
07/31/1993 - 02/20/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
06/08/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 06/17/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/11/1993
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 12/29/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/11/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/29/2010
Series 3 - National Commodity Futures Examination
BC
Issued 06/07/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Murray is the right advisor for you? Invested Better is here to help.
