Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Watson is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in California and Texas. James has been in the financial industry for over 16 years. His experience includes time with J.P. Morgan Securities LLC, UBS Financial Services Inc., and Wells Fargo Advisors, LLC. James holds Series 31, Series 7 and Series 66 licenses. James Watson offers a variety of services, including portfolio management for individuals and businesses, and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
05/22/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
12/16/2019 - 04/12/2023
J.P. MORGAN SECURITIES LLC (SHERMAN OAKS CA)
CA
04/12/2016 - 04/20/2018
UBS FINANCIAL SERVICES INC. (LOS ANGELES CA)
CA
10/01/2012 - 02/09/2016
J.P. MORGAN SECURITIES LLC (LOS ANGELES CA)
CA
06/12/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (LOS ANGELES CA)
CA
01/03/2011 - 08/11/2011
WELLS FARGO ADVISORS, LLC (INGLEWOOD CA)
CA
04/06/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (INGLEWOOD CA)
CA
09/29/2006 - 11/08/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
CA
12/18/2003 - 09/05/2006
WELLS FARGO INVESTMENTS, LLC (GARDENA CA)
NY
03/06/2002 - 09/19/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 03/30/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/20/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 03/05/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Watson is the right advisor for you? Invested Better is here to help.
