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James Woodrow Gillespie

Wells Fargo Clearing Services, LLC

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About James Woodrow Gillespie

James Woodrow Gillespie is a financial professional with over 20 years of experience in the financial services industry. James is currently registered with Wells Fargo Clearing Services, LLC and has been with them since March 2018. Prior to joining Wells Fargo, James was with SunTrust Investment Services, INC. from February 2009 to April 2018 and UVEST FINANCIAL SERVICES GROUP, INC. from October 2006 to December 2008. James has held a variety of roles during his career, including Financial Advisor, Investment Advisor Representative, and Registered Representative. James is a licensed Series 7, 6, 63, and 66 representative and holds a SIE designation. James is a dedicated professional who is committed to providing his clients with the highest level of service and personalized financial advice.

Firm Information

James Gillespie is currently registered with Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is a Limited Liability Company formed in March 2003 and headquartered in St. Louis, Missouri. They offer a variety of investment advisory services, including financial planning, pension consulting, and portfolio management for individuals, businesses, and institutional clients. With over $10 billion to $50 billion in assets under management, the firm provides services to a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension plans, and state or municipal government entities. They are registered with the SEC and all 50 states.
Wells Fargo Clearing Services, LLC

ONE NORTH JEFFERSON AVENUE

ST. LOUIS, MO 63103-2205

$558.46B

Assets Under Management

5,927

Total Clients

17,168

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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investment consulting services to institutional clients

Investment consulting services to institutional clients

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Gillespie’s Registration & Firm History

NC

04/27/2018 - Present

Wells Fargo Clearing Services, LLC (RALEIGH NC)

NC

02/19/2009 - 04/02/2018

SUNTRUST INVESTMENT SERVICES, INC. (CHAPEL HILL NC)

SC

10/09/2006 - 12/11/2008

UVEST FINANCIAL SERVICES GROUP, INC. (ANDERSON SC)

NC

09/09/2004 - 08/23/2006

FIRST CITIZENS INVESTOR SERVICES, INC. (RALEIGH NC)

NC

06/12/2001 - 09/02/2004

BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)

MA

11/16/2000 - 06/06/2001

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

NC

11/16/1998 - 11/07/2000

BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)

MO

09/15/1997 - 03/05/1999

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

NC

05/18/1994 - 02/17/1995

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 01/16/2002

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/19/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/12/1997

Series 7 - General Securities Representative Examination

BC

Issued 05/17/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for James Woodrow Gillespie. Review regulatory record here.
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