James
Phillips

Wells Fargo Clearing Services, LLC

CRD#6693357
Investment Advisor
in New Bern, NC

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About this Advisor

James Phillips is a financial advisor whose office is in New Bern, North Carolina. Currently an investment advisor with Wells Fargo Clearing Services, LLC, they have gathered 12 years of work experience in the financial advisory industry. Phillips maintains a Series 66 license, designating them as both a securities agent and an investment advisor representative. Phillips is registered to serve customers in North Carolina. Throughout their career, Phillips has worked at Wells Fargo Advisors, LLC, Wells Fargo Bank Na, United States Cellular Corp and Wells Fargo Clearing Services, LLC. Wells Fargo Clearing Services, LLC is based out of New Bern, North Carolina, and operates out of 6,239 offices in the nation. As a registered investment advisory firm, Wells Fargo Clearing Services, LLC manages $511 billion in assets throughout 1,430,874 accounts and retains more than 25,711 people. The level of assets currently under the firm's management makes it one of the largest firms in the country. The firm manages 1,080,075 accounts on a discretionary basis, in which the advisor makes investment decisions at their discretion. Currently 41% of the firm's clients are high-net-worth individuals, meaning they have over $1 million in investable assets. Wells Fargo Clearing Services, LLC provides financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers and other services. The firm's fees may include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 66

Years of Experience

12 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Disclosures

No

Office Location

3100 Dr Martin Luther King Jr Blvd
New Bern, NC 28562

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Wells Fargo Clearing Services, LLC Brokerage Details

Total Assets Under Management

$510,933,873,086

NC Average: $11,469,110,461
Total Number of Employees

25,711

NC Average: 458
Total Number of Accounts

1,430,874

NC Average: 33,415
Average Account Size

$357,078

NC Average: $343,232

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Other

James Phillips Work History

James has 12 years of experience.

2016 - Present (5 years)

Wells Fargo Clearing Services, LLC

2011 - Present (10 years)

Wells Fargo Bank Na

2016 - 2016 (< 1 year)

Wells Fargo Advisors, LLC

2008 - 2011 (3 years)

United States Cellular Corp

Disclosures

James Phillips has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Wells Fargo Clearing Services, LLC

Connor Flannery
New York, NY
Rosa Saldias Costa
Miami, FL
Robert Read
Richmond, VA
Matthew Ogurkow
Seattle, WA
Carla Inurritegui
Miami, FL
Adam Pike
Wilmington, NC
Une Enyenihi
Minneapolis, MN
James Edelen
Saint Louis, MO

This content was compiled from the SEC and FINRA.

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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