Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wang is a financial advisor with over 27 years of experience in the industry. James is currently registered with Raymond James & Associates, Inc. and has previously been associated with several firms including Morgan Stanley, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Dean Witter Reynolds Inc., and Paine Webber Incorporated. James offers a wide range of services including financial planning, portfolio management for individuals and businesses, pension consulting, and selection of other advisers. James is registered in 30 states and holds the Series 7, Series 31, Series 63, and Series 65 licenses.
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.
Please see note in schedule d - miscellaneous
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
NY
08/29/2022 - Present
Raymond James & Associates, Inc. (New Hyde Park NY)
NY
06/01/2009 - 02/22/2016
MORGAN STANLEY (MELVILLE NY)
NY
06/20/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MANHASSET NY)
NY
01/07/2000 - 06/20/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/11/1997 - 03/21/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NJ
04/23/1996 - 02/25/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
09/27/1995 - 03/11/1996
MAIDSTONE FINANCIAL, INC. (NEW YORK NY)
IA
Issued 04/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/18/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 09/13/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Wang is the right advisor for you? Invested Better is here to help.
