Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Warren is a financial advisor with Raymond James & Associates, Inc. with over 30 years of experience in the financial services industry. James is a Series 3, 7, 63 and 65 licensed professional. James is registered to provide investment advice in 24 states and has held various roles with companies such as Wells Fargo Clearing Services, LLC, Morgan Stanley Smith Barney and Citigroup Global Markets Inc. James is committed to providing personalized financial planning and portfolio management services to individual and corporate clients.
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
FL
02/22/2022 - Present
Raymond James & Associates, Inc. (TAMPA FL)
FL
02/26/2010 - 06/16/2021
WELLS FARGO CLEARING SERVICES, LLC (TAMPA FL)
FL
06/01/2009 - 03/15/2010
MORGAN STANLEY SMITH BARNEY (TAMPA FL)
FL
01/29/1992 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TAMPA FL)
IA
Issued 03/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/05/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/1992
Series 3 - National Commodity Futures Examination
BC
Issued 01/27/1992
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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