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James Richard Alperin

Wells Fargo Clearing Services, LLC

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About James Richard Alperin

James Richard Alperin is a financial professional with over 27 years of experience in the industry. James is currently registered with Wells Fargo Clearing Services, LLC and holds Series 4, 7, 24, 63, and 65 licenses. In addition, James has also held positions with Morgan Stanley, Northland Securities, Inc., C & CO/PRINCERIDGE GROUP LLC, RODMAN & RENSHAW, LLC, CARIS & COMPANY, INC., KAUFMAN BROS., L.P., C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP), and SOUNDVIEW FINANCIAL GROUP, INC. James specializes in investment consulting services to institutional clients, financial planning, pension consulting, and selection of other advisers.

Firm Information

James Alperin is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Alperin’s Registration & Firm History

CT

11/23/2022 - Present

Wells Fargo Clearing Services, LLC (WESTPORT CT)

CT

02/10/2016 - 03/06/2019

MORGAN STANLEY (GREENWICH CT)

NY

01/02/2013 - 12/22/2015

NORTHLAND SECURITIES, INC. (NEW YORK NY)

NY

11/14/2012 - 01/02/2013

C & CO/PRINCERIDGE GROUP LLC (NEW YORK NY)

NY

09/06/2011 - 06/29/2012

RODMAN & RENSHAW, LLC (NEW YORK NY)

NY

01/03/2007 - 08/25/2011

CARIS & COMPANY, INC. (NEW YORK NY)

NY

06/13/2003 - 01/04/2007

KAUFMAN BROS., L.P. (NEW YORK NY)

NY

07/23/1999 - 05/30/2003

C.E. UNTERBERG, TOWBIN (A CALIFORNIA LIMITED PARTNERSHIP) (NEW YORK NY)

NY

07/05/1995 - 05/18/1999

KAUFMAN BROS., L.P. (NEW YORK NY)

CT

03/28/1994 - 12/12/1994

SOUNDVIEW FINANCIAL GROUP, INC. (OLD GREENWICH CT)

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Licenses & Designations

IA

Issued 02/23/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/24/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/26/2004

Series 24 - General Securities Principal Examination

BC

Issued 09/05/1995

Series 4 - Registered Options Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/24/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for James Richard Alperin.
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