Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Moore is a financial advisor who has been in the industry since 2002. James is registered with Wedbush Securities Inc., a firm with a long history of providing comprehensive financial solutions to clients. James specializes in serving a wide range of clients, including high-net-worth individuals, corporations, and charitable organizations. James is committed to helping clients achieve their financial goals. James has a deep understanding of the financial markets and a proven track record of success.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
1
2
KY
03/04/2024 - Present
Wedbush Securities Inc. (Lexington KY)
KY
04/28/2022 - 03/05/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LEXINGTON KY)
KY
10/11/2011 - 05/11/2022
LPL FINANCIAL LLC (ASHLAND KY)
KY
10/31/2007 - 10/11/2011
UVEST FINANCIAL SERVICES GROUP, INC. (ASHLAND KY)
IL
09/25/2002 - 10/04/2002
CASSANDRA TRADING GROUP, LLC (CHICAGO IL)
IL
03/23/2001 - 02/26/2002
EROOM SECURITIES L.L.C. (CHICAGO IL)
NY
07/15/1996 - 08/10/2000
ETG, L.L.C. (NEW YORK NY)
BOTH
Issued 10/09/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/20/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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