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 Pratt is a financial advisor with Wells Fargo Clearing Services, LLC, located in Minneapolis, Minnesota. James has been in the financial industry since 1998 and has held previous positions with BMO Harris Financial Advisors, Inc., M&I Financial Advisors, Inc, and Raymond James & Associates, Inc.. James is a registered representative in multiple states, including Minnesota, Texas, California, Colorado, Michigan, Nevada, North Dakota, and Wisconsin. James is also a registered Investment Advisor in Minnesota and Texas. James holds the Series 7, Series 63, and Series 65 securities licenses. James is dedicated to providing financial advice and services to individuals, businesses, and 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
MN
12/02/2023 - Present
Wells Fargo Clearing Services, LLC (MINNEAPOLIS MN)
WI
08/01/2012 - 02/28/2017
BMO HARRIS FINANCIAL ADVISORS, INC. (SUPERIOR WI)
WI
10/07/2009 - 08/01/2012
M&I FINANCIAL ADVISORS, INC (SUPERIOR WI)
MN
07/27/2005 - 09/21/2009
RAYMOND JAMES & ASSOCIATES, INC. (DULUTH MN)
NJ
08/28/1998 - 08/18/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
IA
Issued 05/01/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/11/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1998
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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