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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 Paul Combest is a financial advisor with over 45 years of experience in the industry. James is registered with Morgan Stanley and has been with the firm since June 2009. James is also registered with the following states: California, Colorado, Kansas, Mississippi, Missouri, Nevada, New Jersey, New Mexico, New York, Oklahoma, Texas, Utah and Virginia. James has passed the Series 3, 5, 7, 9, 10, 63 and 65 exams. Previous firms James has worked with include Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James provides a variety of services to his clients, including financial planning, portfolio management, asset allocation advice and educational seminars.
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
TX
06/01/2009 - Present
Morgan Stanley (LUBBOCK TX)
TX
08/03/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (LUBBOCK TX)
NY
09/26/1978 - 08/06/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
03/23/1978 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 05/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/26/1985
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 05/13/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/23/1990
Series 3 - National Commodity Futures Examination
BC
Issued 10/06/1981
Series 5 - Interest Rate Options Examination
BC
Issued 03/18/1978
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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