Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Scott Higgins is a financial advisor at Wells Fargo Clearing Services, LLC. James has been working in the financial industry since 1989, providing financial advice and investment management services to clients. James is registered in 28 states and holds Series 7, 63, and 65 licenses. James is also a member of the Kirkwood Community College Foundation Investment Committee. James specializes in financial planning, portfolio management for individuals and businesses, and investment consulting services for institutional clients.
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
IA
10/07/2019 - Present
Wells Fargo Clearing Services, LLC (CORALVILLE IA)
IA
03/02/1998 - 10/17/2019
RBC CAPITAL MARKETS, LLC (CEDAR RAPIDS IA)
NA
03/13/1989 - 03/02/1998
DAIN RAUSCHER INCORPORATED
IA
Issued 12/15/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/23/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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