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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 Roy Woodfin is a registered investment advisor with over 20 years of experience. James is currently affiliated with Nuveen Asset Management, LLC where James is a registered representative and investment advisor representative. James has been in the securities industry since 1991 and has a strong track record of success. James has worked for several well-known firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Dreyfus Service Corporation. James holds the Series 7, Series 63, Series 65, and Series 66 licenses. James is also a registered investment advisor in Louisiana and Texas.
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.
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.
Strategic management for diversified investment portfolios.
Model portfolio 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.
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.
1
2
IL
03/14/2013 - Present
Nuveen Asset Management, LLC (CHICAGO IL)
AZ
01/21/2010 - 11/09/2012
DAVIS DISTRIBUTORS, LLC (TUCSON AZ)
NY
11/14/2007 - 01/19/2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/02/2001 - 06/30/2005
DREYFUS SERVICE CORPORATION (NEW YORK NY)
NA
03/15/1991 - 09/01/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 03/13/2013
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 12/05/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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