Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Stephenson is a financial advisor based in West Bend, Wisconsin. James has been in the industry since 1993 and holds a wide range of licenses and certifications. James is currently affiliated with Merit Financial Advisors. Previously, James has worked at Charles Schwab & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Clearing Services, LLC, Fidelity Brokerage Services LLC, Scottrade, Inc., Morgan Stanley, and TD Waterhouse Investor Services, Inc. James offers financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
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.
A percentage of the total value of assets under management is charged.
Consulting fees
1
2
WI
07/30/2024 - Present
Merit Financial Advisors (West Bend WI)
WI
08/27/2019 - 08/05/2024
CHARLES SCHWAB & CO., INC. (Middleton WI)
WI
06/10/2019 - 08/05/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MADISON WI)
MN
04/19/2018 - 04/30/2019
WELLS FARGO CLEARING SERVICES, LLC (MINNEAPOLIS MN)
MN
03/02/2015 - 04/17/2018
FIDELITY BROKERAGE SERVICES LLC (MINNETONKA MN)
MN
07/03/2014 - 02/25/2015
SCOTTRADE, INC. (ST. PAUL MN)
MN
09/20/2013 - 07/21/2014
MORGAN STANLEY (BLOOMINGTON MN)
MN
03/23/2006 - 05/16/2013
FIDELITY BROKERAGE SERVICES LLC (EDINA MN)
MN
02/04/2003 - 02/13/2006
TD WATERHOUSE INVESTOR SERVICES, INC. (MINNEAPOLIS MN)
NY
08/26/1999 - 04/11/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
TX
02/11/1994 - 06/14/1999
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
06/24/1992 - 08/30/1993
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
10/31/1990 - 06/04/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 06/03/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/07/1990
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 04/14/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 10/29/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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