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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 Johnson is an active broker and investment advisor representative, registered with Morgan Stanley. James has been in the securities industry since June 2014 and holds various licenses, including Series 7, 9, 10, 24, 63, and 66. James previously worked with E*TRADE Securities LLC and PFS Investments INC., gaining experience in financial services. Currently, James Johnson is registered with the state of Georgia and Texas for both broker-dealer and investment advisor activities. James Johnson focuses on providing asset allocation advice, financial planning, pension consulting, and educational seminars to individuals, investment companies, and businesses. James Johnson also provides portfolio management services for individuals, investment companies, 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.
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
GA
10/02/2023 - Present
Morgan Stanley (Alpharetta GA)
GA
01/15/2020 - 09/05/2023
E*TRADE SECURITIES LLC (Alpharetta GA)
GA
07/17/2019 - 01/16/2020
PFS INVESTMENTS INC. (SUWANEE GA)
GA
06/12/2014 - 07/24/2017
E*TRADE SECURITIES LLC (ALPHARETTA GA)
BOTH
Issued 04/25/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/24/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/09/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/07/2016
Series 24 - General Securities Principal Examination
BC
Issued 07/24/2017
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2014
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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