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
- 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.
- James Warfield Recognized in NEW YORK Magazine’s 2014 Wealth Manager Awards
See the latest edition of the Global Investment Committee's Newsletter: On the Markets.
See March On the Markets from the Global Investment Committee featuring
• "The Power of Three" Michael Wilson, chief investment officer of Morgan Stanley Wealth Management, explains how three separate events in the global economy are coming together to help the recovery become more synchronous and sustainable.
• "Is Winning Losing and Losing Winning?" Perhaps it is in the NBA, where the worst teams get first dibs in the player draft. Adam Parker, Morgan Stanley & Co.’s chief US equity strategist, explains how winning by losing applies to investors.
• "Tax-Free Yields Near Taxable Treasuries" Municipal bonds typically sell with yields below those of comparable-maturity US Treasury bonds because municipal income is taxed by the federal government. Now, a confluence of factors has created a situation in which tax-free bonds are yielding nearly the same as Treasuries.
Plus, more on global equities, fixed income securities, currencies and commodities.
Securities Agent: CT, FL, MA, MD, NH, NJ, NY, PA, RI, SC, WI; General Securities Representative; Investment Advisor Representative;