Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William patrick Wolf is a financial advisor with over 15 years of experience in the financial services industry. James is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Previously, James was registered with MORGAN STANLEY and WELLS FARGO ADVISORS, LLC. James holds both a Series 7 and Series 63 licenses, and a Series 65 license. James is also registered in 25 states.
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
NC
07/29/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
08/31/2009 - 08/07/2013
MORGAN STANLEY (CHARLOTTE NC)
NC
01/17/2008 - 08/24/2009
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
NC
09/29/2007 - 11/19/2007
AMERIPRISE FINANCIAL SERVICES, INC. (CHARLOTTE NC)
IA
Issued 10/23/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/08/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/27/2007
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
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