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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 Simpson is a registered investment advisor with Morgan Stanley. He has been in the financial services industry since 1987. James has a wide range of experience in the industry, having worked for several well-known firms including Citigroup Global Markets Inc., Lehman Brothers Inc., and E.F. Hutton & Company Inc. James is a Series 7, 63 and 65 licensed representative and has a Series 3 license as well. He is registered to provide investment advisory services in Arizona, California, Colorado, Florida, Idaho, Illinois, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Jersey, New Mexico, New York, Oregon, South Carolina, Texas, Virginia and Washington. James also holds a Series 3 license. He currently works out of the Pleasanton, CA branch office of Morgan Stanley.
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
CA
07/11/2011 - Present
Morgan Stanley (Pleasanton CA)
CA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PLEASANTON CA)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/21/1987 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 04/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1987
Series 3 - National Commodity Futures Examination
BC
Issued 01/17/1987
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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