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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Schembs is a financial advisor with over 20 years of experience in the industry. James currently works at Morgan Stanley, where he serves individuals, families, and businesses. James has experience with a range of financial services, including portfolio management, financial planning, and asset allocation advice. Prior to joining Morgan Stanley, James worked at BMO Capital Markets Corp. and Sanford C. Bernstein & Co., LLC. James is registered with the state of Washington and California, and holds several industry certifications, including Series 7, Series 63, Series 65, Series 79, and SIE.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
WA
05/24/2024 - Present
Morgan Stanley (Seattle WA)
WA
06/09/2022 - 05/17/2024
BMO CAPITAL MARKETS CORP. (Seattle WA)
WA
11/30/2004 - 05/04/2007
SANFORD C. BERNSTEIN & CO., LLC (SEATTLE WA)
CO
10/22/2004 - 11/22/2004
ALPS DISTRIBUTORS, INC. (DENVER CO)
WA
05/09/2002 - 12/09/2003
KMS FINANCIAL SERVICES, INC. (SEATTLE WA)
WA
11/15/2001 - 03/04/2002
BONDHUB, INC. (SEATTLE WA)
IA
Issued 05/24/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/08/2022
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/24/2024
Series 7TO - General Securities Representative Examination
BC
Issued 06/09/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 05/06/2022
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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