Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wagner is a financial advisor at Wells Fargo Clearing Services, LLC in Westlake Village, CA. James has been in the financial services industry since 1997. James is registered with the state of California as a broker-dealer and investment advisor representative. James is a Certified Financial Planner™. James specializes in providing investment consulting services to institutional clients. James also offers financial planning and portfolio management services to individuals and businesses.
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
CA
06/08/2020 - Present
Wells Fargo Clearing Services, LLC (WESTLAKE VILLAGE CA)
CA
03/19/2013 - 06/11/2020
CITY NATIONAL SECURITIES, INC. (WESTLAKE VILLAGE CA)
CA
10/17/2011 - 03/15/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CALABASAS CA)
CA
05/29/2009 - 09/21/2011
WEDBUSH SECURITIES INC. (LOS ANGELES CA)
CA
05/27/2000 - 05/28/2009
CITIGROUP GLOBAL MARKETS INC. (SHERMAN OAKS CA)
NY
06/30/1998 - 05/27/2000
SCHRODER & CO. INC. (NEW YORK NY)
NJ
04/08/1997 - 07/13/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 04/15/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/01/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/1997
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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