Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Powell is a financial professional with over 20 years of experience in the industry. James currently holds a registration with Wells Fargo Clearing Services, LLC in Richmond, Virginia. James has previously held registrations with LPL Financial LLC, FTB ADVISORS, INC., MML INVESTORS SERVICES, LLC, ALLSTATE FINANCIAL SERVICES, LLC, PRIMEVEST FINANCIAL SERVICES, INC., FISERV INVESTOR SERVICES, INC., WACHOVIA SECURITIES, INC., WACHOVIA BROKERAGE SERVICE, and A. G. EDWARDS & SONS, INC. James has passed numerous exams including the Series 7, Series 63, Series 65, Series 24, and Series 51. James is a registered representative and investment advisor representative in multiple states, including Virginia, North Carolina, Maryland and Florida. James has specialized expertise in providing financial planning, pension consulting, portfolio management for businesses and individuals, and investment consulting services to 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.
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2
VA
11/30/2021 - Present
Wells Fargo Clearing Services, LLC (RICHMOND VA)
VA
04/01/2019 - 12/08/2021
LPL FINANCIAL LLC (MIDLOTHIAN VA)
NC
01/08/2016 - 03/29/2019
FTB ADVISORS, INC. (Raleigh NC)
VA
03/18/2015 - 12/24/2015
MML INVESTORS SERVICES, LLC (GLEN ALLEN VA)
VA
03/05/2012 - 02/26/2015
ALLSTATE FINANCIAL SERVICES, LLC (RICHMOND VA)
VA
08/16/2005 - 08/02/2011
PRIMEVEST FINANCIAL SERVICES, INC. (MIDLOTHIAN VA)
TX
11/25/2002 - 08/17/2005
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
MO
06/15/2002 - 11/20/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NC
02/14/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NC
06/02/1999 - 02/14/2000
WACHOVIA BROKERAGE SERVICE (WINSTON SALEM NC)
MO
09/12/1997 - 04/27/1999
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
IA
Issued 06/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2012
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 06/12/2003
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 09/11/1997
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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