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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Warren Friedlan is a financial advisor who has been in the industry since 2001. James is currently registered with Morgan Stanley. Previously, James Warren Friedlan was registered with UBS Financial Services Inc., Wells Fargo Advisors, LLC, and Citigroup Global Markets Inc. James Warren Friedlan holds the Series 66, Series 7, and SIE licenses. James Warren Friedlan is registered in multiple states and provides a variety of services, including financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
05/06/2014 - Present
Morgan Stanley (San Diego CA)
CA
04/08/2013 - 01/21/2014
UBS FINANCIAL SERVICES INC. (LA JOLLA CA)
CA
06/17/2005 - 02/19/2013
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
NY
02/21/2001 - 06/22/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 04/29/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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