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James Stagg

Wells Fargo Advisors
28 Years of Experience
Roseville, CA
3 DisclosuresBroker
View SEC Summary
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James Stagg is a registered investment advisor at Wells Fargo Advisors, based in Roseville, CA, with 28 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

1512 Eureka Rd 3rd Fl, Roseville, CA, 95661

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2017
Denied
Customer Dispute
May 2001
Settled
Customer Dispute
May 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James holds an inactive real estate license in California. He also serves as co-trustee for his brother's trust (10 hours per month), trustee for his mother's trust (minimal time), and co-trustee for his father's trust (minimal time).

Employment History
Current Registrations
Wells Fargo Clearing Services, LLCBroker
April 2011 - Present · 15 yrs 6 mos
Wells Fargo Advisors
April 2011 - Present · 15 yrs 6 mos
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - May 2011 · 1 yr 11 mos
Morgan Stanley Smith BarneyBroker
June 2009 - May 2011 · 1 yr 11 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
August 1999 - April 2007 · 7 yrs 8 mos
Morgan Stanley Dw INC.Broker
June 1999 - April 2007 · 7 yrs 10 mos
Painewebber IncorporatedBroker
February 1998 - July 1999 · 1 yr 5 mos
State Registrations16 states
AZCACOFLIAIDKYLAMAMTNCNJNVORTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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