Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wendling is a financial advisor with Raymond James & Associates, Inc. James has been in the financial services industry for over 40 years. James is registered to provide financial advice and securities services in multiple states including Florida, Iowa, and Texas. James's experience includes working with a variety of clients including individuals, corporations, insurance companies, charitable organizations, and pension and profit-sharing plans.
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
IA
04/30/2021 - Present
Raymond James & Associates, Inc. (Davenport IA)
IA
06/01/2009 - 05/18/2021
MORGAN STANLEY (DAVENPORT IA)
IA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (DAVENPORT IA)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/30/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
03/30/1982 - 01/30/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 04/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 03/20/1982
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
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