Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Raymond Gross is a financial advisor registered with Wells Fargo Clearing Services, LLC. James is an experienced professional with over 30 years in the financial services industry. James holds Series 7, Series 63 and Series 65 licenses and has been registered with Wells Fargo Clearing Services, LLC since February 2016. James previously worked for Credit Suisse Securities (USA) LLC, Donaldson, Lufkin & Jenrette Securities Corporation, Credit Suisse First Boston Corporation and Lehman Brothers Inc. James provides financial advice to individual and institutional clients. James has a broad range of experience in providing financial planning, portfolio management, investment consulting and selection of other advisors.
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
WI
10/15/2020 - Present
Wells Fargo Clearing Services, LLC (Eagle River WI)
IL
01/17/2003 - 03/08/2016
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
NJ
10/26/1992 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
11/10/2000 - 09/16/2002
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NY
05/14/1988 - 11/19/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/20/1986 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 03/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/21/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/1986
Series 7 - General 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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