Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Monroe is a financial advisor with Wells Fargo Clearing Services, LLC. James has been in the financial industry since March 27, 1983. James holds Series 6, 7, 24, 52, 53, 63 and 65 licenses and is registered in 29 states and the District of Columbia. James previously worked for Wells Fargo Investments, LLC, Wells Fargo Securities Inc., CUSO Equities, Inc. and Equico Securities, Inc. James's experience and qualifications make them a well-rounded advisor with a deep understanding of the financial markets.
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
CA
11/09/2022 - Present
Wells Fargo Clearing Services, LLC (EL DORADO HILLS CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (EL DORADO HILLS CA)
CA
03/04/1994 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
AZ
08/17/1989 - 02/23/1994
CUSO EQUITIES, INC. (PHOENIX AZ)
NA
09/15/1982 - 02/11/1989
EQUICO SECURITIES, INC.
NA
09/15/1982 - 02/11/1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
IA
Issued 03/10/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/20/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/19/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/22/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/1990
Series 7 - General Securities Representative Examination
BC
Issued 09/14/1982
Series 6 - Investment Company Products/Variable Contracts 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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