Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stuart? Claim Your ProfileStuart James has been in the financial services industry since 1987. Stuart is currently registered with Wells Fargo Clearing Services, LLC in San Jose, California. Stuart is also registered as an Investment Advisor Representative in California. Previously, Stuart was registered with Prudential Securities Incorporated from 1987 to 2003 in New York, New York. Stuart holds the Series 3, 7, 63 and 65 securities licenses. Stuart is also licensed to sell securities in Arizona, California, Colorado, Florida, Hawaii, Idaho, Illinois, Kansas, Kentucky, Montana, North Carolina, Oregon, South Carolina, Tennessee, Texas, Washington and Wisconsin. Stuart is a Registered Representative and Investment Advisor Representative for Wells Fargo Advisors LLC.
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.
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2
CA
07/01/2003 - Present
Wells Fargo Clearing Services, LLC (SAN JOSE CA)
NY
04/21/1987 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/26/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/1987
Series 3 - National Commodity Futures Examination
BC
Issued 04/18/1987
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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