Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Paul Kern is a financial advisor at Wells Fargo Clearing Services, LLC. James is registered with FINRA, the Securities and Exchange Commission, and the state of Virginia and Texas. James has been working in the financial services industry since 1986. James has earned the Series 3, 4, 7, 9, 10, 12, 24, 27, 52, 53, 63, and 65 licenses, as well as the SIE exam. James also holds the designation of Registered Principal. James specializes in investment management and financial planning, and has experience working with individuals, corporations, and institutions. James also has experience working with charitable organizations and pension and profit-sharing plans. James provides investment consulting services to institutional clients and has served on various boards.
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
VA
06/21/2002 - Present
Wells Fargo Clearing Services, LLC (BLACKSBURG VA)
NC
05/30/1995 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NA
05/27/1992 - 03/30/1995
FERGUSON, ANDREWS & ASSOCIATES, INC.
NA
08/29/1986 - 02/13/1992
DOMINION INVESTMENT BANKING, INC.
IA
Issued 07/02/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/1986
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 07/11/1995
Series 12 - NYSE Branch Manager Examination
BC
Issued 05/16/1990
Series 4 - Registered Options Principal Examination
BC
Issued 06/03/1987
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/26/1986
Series 24 - General Securities Principal Examination
BC
Issued 02/15/1985
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1994
Series 3 - National Commodity Futures Examination
BC
Issued 02/15/1986
Series 7 - General Securities Representative Examination
BC
Issued 12/21/1984
Series 52 - Municipal Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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