Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Woo Fong is a financial advisor with over 30 years of experience in the industry. James is a CERTIFIED FINANCIAL PLANNER™ professional and holds Series 6, 7, 8, 22, 31, 63 and 65 licenses. James is currently registered with Wells Fargo Clearing Services, LLC and has previously worked at firms including Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Citigroup Global Markets Inc., PaineWebber Incorporated, and American Express Financial Advisors Inc. James specializes in retirement planning, college savings, estate planning, and investment management. James is also a registered Investment Advisor. James is dedicated to helping clients achieve their financial goals.
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.
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.
Investment consulting services to institutional clients
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
MA
05/14/2013 - Present
Wells Fargo Clearing Services, LLC (WALTHAM MA)
MA
06/01/2009 - 06/07/2013
MORGAN STANLEY (WELLESLEY MA)
MA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (WELLESLEY MA)
MA
09/03/2004 - 04/02/2007
MORGAN STANLEY DW INC. (WELLESLEY MA)
NY
11/11/1994 - 09/16/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
12/17/1991 - 11/04/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
MN
11/23/1982 - 12/02/1991
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
NA
11/23/1982 - 12/24/1986
IDS FINANCIAL SERVICES INC.
IA
Issued 07/20/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/12/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 01/16/1995
Series 7 - General Securities Representative Examination
BC
Issued 11/14/1983
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 11/19/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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