Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Ward is a financial advisor with over 25 years of experience in the industry. James is registered with Wedbush Securities Inc. in California and Washington. James has a wide range of experience in the financial services industry, including providing financial planning, pension consulting, and portfolio management services. James is also registered to provide investment advisory services. James is committed to providing clients with personalized financial advice that meets their individual needs.
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.
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
CA
09/08/2006 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
WA
08/12/2006 - 09/21/2006
UBS FINANCIAL SERVICES INC. (SEATTLE WA)
WA
10/21/1999 - 08/12/2006
PIPER JAFFRAY & CO. (SEATTLE WA)
NA
03/14/1988 - 12/31/1989
GILBERT MARSHALL & COMPANY
IA
Issued 11/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2002
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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