Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wong is a financial advisor with Payden & Rygel Distributors. James has been in the financial services industry since 1995. James is a registered representative with FINRA and the state of California. James holds the Series 3, 7, and 63 licenses as well as the SIE exam. James is currently licensed in California.
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.
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.
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CA
02/20/1996 - Present
Payden & Rygel Distributors (LOS ANGELES CA)
NY
03/22/1995 - 06/29/1995
UBS SECURITIES INC. (NEW YORK NY)
NY
07/27/1994 - 01/18/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 07/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/02/1994
Series 3 - National Commodity Futures Examination
BC
Issued 07/26/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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