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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 Griffin is a financial advisor currently working at Wells Fargo Clearing Services, LLC. James has over 25 years of experience in the financial services industry, having worked previously at firms such as WELLS FARGO INVESTMENTS, LLC, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC., and BA INVESTMENT SERVICES, INC.. James is a Series 6, 7, 63, and 65 licensed financial advisor. He is also a Certified Financial Planner. James has worked with various types of clients including individuals, businesses, high-net-worth individuals, and charitable organizations. James currently holds active licenses in Arizona, California, Colorado, Florida, Hawaii, Missouri, Nevada, New York, Ohio, 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.
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
02/04/2019 - Present
Wells Fargo Clearing Services, LLC (EL SEGUNDO CA)
CA
07/23/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (EL SEGUNDO CA)
NY
08/01/2003 - 07/01/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/18/2000 - 08/07/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MA
07/12/1999 - 03/21/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
07/23/1997 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
IA
Issued 05/05/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/22/1997
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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