Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Randall Pringle is a financial advisor with over 30 years of experience in the industry. James is currently registered with Wells Fargo Clearing Services, LLC and has branch office locations in both Indian Harbour Beach and Winter Park, FL. James is also registered with the following states: California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Kentucky, Louisiana, Maine, Maryland, Minnesota, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, and Wisconsin. Prior to joining Wells Fargo Clearing Services, LLC, James worked for UBS Financial Services Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James holds several licenses and designations, including the Series 6, 7, 31, 63, and 66. James specializes in providing financial planning and investment management services to both individuals and businesses. James is also able to provide investment consulting services to institutional clients.
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
FL
10/26/2017 - Present
Wells Fargo Clearing Services, LLC (INDIAN HARBOUR BEACH FL)
NJ
01/16/1997 - 06/16/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
07/07/1992 - 01/17/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
09/04/1984 - 02/26/1991
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 02/17/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/28/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 07/06/1992
Series 7 - General Securities Representative Examination
BC
Issued 08/31/1984
Series 6 - Investment Company Products/Variable Contracts 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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