Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wong is a financial advisor with over 20 years of experience in the industry. James is currently registered with Morgan Stanley. James has previously worked with Wells Fargo Advisors, LLC and WM Financial Services, Inc.. James holds Series 7, 63, and 65 licenses and has extensive experience in advising individuals, families, and businesses on their financial needs. James is dedicated to helping clients reach their financial goals by providing personalized financial advice and investment strategies.
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
03/05/2014 - Present
Morgan Stanley (San Mateo CA)
CA
07/15/2008 - 03/03/2014
WELLS FARGO ADVISORS, LLC (SAN FRANCISCO CA)
CA
03/01/2005 - 07/25/2008
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
10/07/1998 - 03/02/2005
WM FINANCIAL SERVICES, INC. (IRVINE CA)
IA
Issued 03/25/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/16/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/1998
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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