JB
James W. Boswell
WELLS FARGO SECURITIES
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 1845795
JB
Professional summary
James William Boswell is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in San Francisco, California and WELLS FARGO PRIME SERVICES, LLC located in San Francisco, California.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 63, Series 82TO, Series 52TO, Series 99TO, Series 22TO, Series 57TO, Series 6TO, SIE, Series 7, Series 14, Series 4, Series 26, Series 39, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view James William Boswell's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 11, 2017 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 333 Market Street, San Francisco, CA 94105BD
CRD#: 126292
San Francisco, CA
Current
September 30, 2021 - Present
WELLS FARGO PRIME SERVICES, LLC
Office #1: 333 Market Street, San Francisco, CA 94105BD
CRD#: 133068
San Francisco, CA
Past
October 16, 2013 - November 9, 2017
WELLS FARGO PRIME SERVICES, LLC
BD
CRD#: 133068
SAN FRANCISCO, CA
Past
November 9, 2006 - August 29, 2013
UBS SECURITIES LLC
BD
CRD#: 7654
SAN FRANCISCO, CA
Past
December 1, 1998 - August 16, 2006
J.P. MORGAN CLEARING CORP.
BD
CRD#: 28432
SAN FRANCISCO, CA
Past
December 1, 1998 - August 16, 2006
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/5/2018)
RR
Alaska(10/5/2018)
RR
Arizona(10/11/2017)
RR
Arkansas(10/5/2018)
RR
California(10/11/2017)
RR
Colorado(10/11/2017)
RR
Connecticut(10/11/2017)
RR
Delaware(10/5/2018)
RR
District of Columbia(10/5/2018)
RR
Florida(10/8/2018)
RR
Georgia(10/5/2018)
RR
Hawaii(10/5/2018)
RR
Idaho(10/5/2018)
RR
Illinois(10/12/2017)
RR
Indiana(10/5/2018)
RR
Iowa(10/5/2018)
RR
Kansas(10/5/2018)
RR
Kentucky(10/5/2018)
RR
Louisiana(10/5/2018)
RR
Maine(10/5/2018)
RR
Maryland(10/5/2018)
RR
Massachusetts(10/5/2018)
RR
Michigan(10/5/2018)
RR
Minnesota(10/5/2018)
RR
Mississippi(10/5/2018)
RR
Missouri(10/5/2018)
RR
Montana(10/9/2018)
RR
Nebraska(10/5/2018)
RR
Nevada(10/11/2017)
RR
New Hampshire(10/5/2018)
RR
New Jersey(10/13/2017)
RR
New Mexico(10/5/2018)
RR
New York(10/11/2017)
RR
North Carolina(10/8/2018)
RR
North Dakota(10/5/2018)
RR
Ohio(10/5/2018)
RR
Oklahoma(10/5/2018)
RR
Oregon(10/11/2017)
RR
Pennsylvania(10/11/2017)
RR
Puerto Rico(4/29/2024)
RR
Rhode Island(10/5/2018)
RR
South Carolina(10/5/2018)
RR
South Dakota(10/5/2018)
RR
Tennessee(10/5/2018)
RR
Texas(10/11/2017)
RR
Utah(10/11/2017)
RR
Vermont(10/5/2018)
RR
Virgin Islands(4/29/2024)
RR
Virginia(10/5/2018)
RR
Washington(10/11/2017)
RR
West Virginia(10/5/2018)
RR
Wisconsin(11/1/2018)
RR
Wyoming(10/5/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WF
WELLS FARGO PRIME SERVICES, LLC
MERLIN SECURITIES, LLC | WELLS FARGO PRIME SERVICES, LLC | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING
CRD#: 133068 / SEC#: , 8-66677
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
333 Market Street, San Francisco, CA 94105
Mailing Address
333 Market Street, San Francisco, CA 94105
Phone number
(212) 822-4800
Established
Delaware since 02/26/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | OWNER | |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| HALL, JEFFREY | CHIEF OPERATIONS OFFICER | 5292396 |
| KEARNS, WILLIAM J | MANAGER | 2127701 |
| LANGIS, DARREN JOSEPH | MANAGER | 2781108 |
| LEONE, JOHN | MANAGER | 7164476 |
| MCCOOEY, EAMON PATRICK | CEO, PRESIDENT, MANAGER | 1762536 |
| RILEY, MICHAEL FRANCIS | MANAGER | 4165280 |
| YI, SCOTT HUN | CHIEF COMPLIANCE OFFICER | 3152646 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
