Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Van Moore is a financial advisor at Wells Fargo Clearing Services, LLC. James has been working in the financial industry since 1996 and has been registered with Wells Fargo Advisors LLC since 2011. James has a diverse range of experience with different clients, including high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. James specializes in providing financial planning, investment consulting services to institutional clients, selection of other advisers, and portfolio management for businesses and individuals. Prior to joining Wells Fargo, James held positions at Morgan Stanley Smith Barney and Citigroup Global Markets Inc.
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
IL
03/29/2021 - Present
Wells Fargo Clearing Services, LLC (SPRINGFIELD IL)
IL
06/01/2009 - 05/20/2011
MORGAN STANLEY SMITH BARNEY (SPRINGFIELD IL)
IL
04/29/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SPRINGFIELD IL)
NY
01/26/1996 - 05/04/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 10/08/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/1996
Series 7 - General Securities 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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