Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ralph Williams is a financial advisor who has been in the industry since December 1993. James is currently registered with Ameriprise Financial Services, LLC. Previously, James was registered with MORGAN STANLEY, WELLS FARGO CLEARING SERVICES, LLC, PRUDENTIAL SECURITIES INCORPORATED, and PAINEWEBBER INCORPORATED. James has been a registered representative since December 1993 and an Investment Advisor Representative since January 1994. James holds both the Series 7 and the Series 65 licenses. James currently resides in Monterey, CA and specializes in a variety of investment areas including asset allocation services, financial planning, pension consulting, and portfolio management for individuals 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.
Asset allocation services
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.
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2
CA
01/22/2024 - Present
Ameriprise Financial Services, LLC (Monterey CA)
CA
08/11/2017 - 02/20/2024
MORGAN STANLEY (Monterey CA)
CA
07/01/2003 - 08/14/2017
WELLS FARGO CLEARING SERVICES, LLC (CARMEL CA)
NY
09/20/1996 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
12/20/1993 - 10/03/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 01/03/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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