Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Scott? Claim Your ProfileScott James is a financial advisor with over 25 years of experience in the industry. Scott is registered to offer securities and investment advisory services in California and other states. Scott James currently works for Wells Fargo Clearing Services, LLC and previously worked for Wells Fargo Advisors, LLC, Wells Fargo Investments, LLC, MBSC, LLC, Mellon Financial Markets, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Scott James is a Series 3, 7, 10, 9, 63 and 65 licensed financial advisor. Scott James specializes in providing portfolio management for individuals and businesses. Scott James offers financial planning and investment consulting services.
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
CA
04/10/2012 - Present
Wells Fargo Clearing Services, LLC (SAN FRANCISCO CA)
CA
01/03/2011 - 11/07/2011
WELLS FARGO ADVISORS, LLC (LOS ANGELES CA)
CA
07/01/2003 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (LOS ANGELES CA)
NY
06/06/2003 - 06/17/2003
MBSC, LLC (NEW YORK NY)
NY
09/05/2001 - 06/06/2003
MELLON FINANCIAL MARKETS, LLC (NEW YORK NY)
NY
07/16/1996 - 04/17/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/10/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/17/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2012
Series 3 - National Commodity Futures Examination
BC
Issued 07/15/1996
Series 7 - General Securities 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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