Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Turner Norris is a financial advisor with over 20 years of experience in the financial services industry. James is currently registered with Oppenheimer & Co. Inc. James has held previous positions with MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC. James is a Certified Financial Planner and holds the Series 7, Series 63, and Series 65 licenses. James offers a variety of financial planning services, including investment management, retirement planning, and estate planning.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
NC
02/07/2018 - Present
Oppenheimer & Co. Inc. (ASHEVILLE NC)
NC
06/01/2009 - 11/09/2011
MORGAN STANLEY SMITH BARNEY (ASHEVILLE NC)
NC
12/03/1998 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ASHEVILLE NC)
IA
Issued 04/29/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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