My practice is structured to provide wealth management services to successful individuals, business owners, and high net worth families. I offer comprehensive, objective financial advice to clients who desire a high level of personal service. I guide my clients through education, retirement, and estate planning; this includes customized investment strategies utilizing a core/satellite portfolio methodology designed for the growth and protection of their assets.
- President of the Society of Maritime Arbitrators, Inc.
- The Chemists' Club, Board of Directors
- Hidden Ridge Condominium Association, Treasurer
- Defined Contribution Plans
- Estate Planning Strategies
- Financial Planning
- Life Insurance
- Professional Portfolio Management
- Qualified Retirement Plans
- Retirement Planning
- Structured Products
- 529 Plans
- Juniata College, Huntingdon, PA
- NY Institute of Technology, New York, NY
Masters Business Administration
- Molloy College, Rockville Center, NY
Certified Financial Planner (CFP)
- Morgan Stanley*,
Certified for Guided Portfolio Management
- Morgan Stanley*, Garden City, NY
In July 2010 I moved to Morgan Stanley* as Vice President, Wealth Management, focusing in educational, retirement (including corporate pension plans), financial, and estate planning strategies.
- UBS Wealth Management, Uniondale, NY
Effecting a career change in 1999, I joined Paine Webber as a Financial Advisor. Following the acquisition by UBS, I obtained my CFP certification and was appointed Vice President, Investments in 2005
- U.S. Titan, Inc., New York, NY 1991-1999
President of this boutique international oil shipping and trading company.
- Burmpac Oil Company, New York, NY 1986-1991
President and CEO. This was a management led buyout from Burmah Oil, Plc. of their international oil tanker and terminalling subsidiary.
- Bumah Oil Tankers, Ltd., New York, NY 1978-1986
Executive Vice President and President of Burmah Oil Bahamas, Conducted oil transportation and terminalling business globally with oil majors, oil trading companies, state oil companies, ship owners, and the U.S Government. Responsible for relations with the government of the Bahamas, where we operated a major oil transshipment and storage facility.
Check the background of our Firm and Investment Professionals on FINRA's BrokerCheck.
James Warfield holds the following registrations:
Securities Agent: CA, CT, FL, MA, MD, NH, NJ, NY, OH, PA, RI, SC, VA, WI; General Securities Representative; Investment Advisor Representative
The use of the CDFA designation does not permit the rendering of legal advice by Morgan Stanley or its Financial Advisors which may only be done by a licensed attorney.
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*References to length of service at Morgan Stanley include years at Morgan Stanley and predecessor firms.
Morgan Stanley Smith Barney LLC and its affiliates do not provide tax or legal advice. Any such taxpayer should seek advice based on the taxpayer's particular circumstances from an independent tax advisor.
The securities/instruments, investments and investment strategies discussed in this material may not be suitable for all investors. The appropriateness of a particular investment or investment strategy will depend on an investor's individual circumstances and objectives. The views and opinions expressed on this website do not necessarily reflect those of Morgan Stanley.
Certified Financial Planner Board of Standards Inc. owns the certification marks CFP, CERTIFIED FINANCIAL PLANNER and CFP (with flame logo)® in the U.S., which it awards to individuals who successfully complete CFP Board's initial and ongoing certification requirements.
Investment Management Consultants Association, Inc. owns the marks CIMA, Certified Investment Management Analyst (with graph element)®, and Certified Investment Management Analyst .
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Life insurance, disability income insurance, and long-term care insurance are offered through Morgan Stanley Smith Barney LLC's licensed insurance agency affiliates.
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