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 Qualls is a financial advisor with over 40 years of experience in the financial services industry. James is registered with B. Riley Wealth Management in Houston, Texas. He has a broad background in securities and investment products including a wide range of investment products and services. Prior to joining B. Riley Wealth Management, James was a financial advisor at Southwest Securities, Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated, Paine Webber Incorporated, Rotan Mosle Inc. and Merrill Lynch, Pierce, Fenner & Smith, Inc. James is dedicated to providing his clients with personalized financial advice and investment solutions.
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.
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.
1
2
TX
09/08/2015 - Present
B. Riley Wealth Management (Houston TX)
TX
06/23/2009 - 10/07/2015
SOUTHWEST SECURITIES, INC. (HOUSTON TX)
TX
06/01/2009 - 07/01/2009
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
TX
03/29/1994 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (HOUSTON TX)
NJ
01/01/1991 - 03/16/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
10/08/1976 - 01/01/1991
ROTAN MOSLE INC.
NA
11/01/1973 - 11/13/1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BC
Issued 02/06/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/08/1984
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/1977
PC - AMEX Put and Call Exam
BC
Issued 10/24/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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