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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn W. James is an active investment advisor representative and registered with Morgan Stanley. John W. James has been in the industry for 5 years and has passed the Series 63, Series 65, Series 7TO, and SIE exams. John W. James is registered in 53 states and has worked with Morgan Stanley for 1 year and previously worked with Wilkinson Boyd Capital Markets, Inc. John W. James is licensed in Connecticut and New York and has 4 approved SRO registrations and 1 approved FINRA registration. John W. James is registered in several states as an Investment Advisor Representative for Morgan Stanley. John W. James also worked with Kineo Capital LLC from 2022 to 2024 and Arch Capital Services Inc from 2011 to 2024. John W. James specializes in Asset Allocation Advice, Financial Planning, Pension Consulting, Educational Seminars, and Selection of Other Advisers.
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
NY
08/24/2024 - Present
Morgan Stanley (Purchase NY)
CT
01/29/1994 - 10/29/1996
WILKINSON BOYD CAPITAL MARKETS, INC (NEW CANAAN CT)
BC
Issued 12/11/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/04/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/22/2024
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2024
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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