Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Elliott is a registered representative associated with Wells Fargo Securities, LLC. James Richard Elliott's professional experience includes passing the Uniform Securities Agent State Law Examination (Series 63), the Investment Banking Registered Representative Examination (Series 79TO), and the Securities Industry Essentials Examination (SIE). James Richard Elliott is currently registered with FINRA, and holds a registration for the state of California. James Richard Elliott is not currently registered with the SEC as an Investment Advisor.
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.
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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CA
09/03/2024 - Present
Wells Fargo Securities, LLC (SAN FRANCISCO CA)
BC
Issued 08/07/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/03/2024
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/22/2024
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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