Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alan Ritter is a financial advisor with over 35 years of experience in the industry. James is currently registered with Robert W. Baird & Co. Inc. James is a Series 7 and Series 63 licensed professional and holds a Series 65 license. James is also a registered investment advisor. James has been with Robert W. Baird & Co. Inc. since October 2000. Prior to that, James was with Salomon Smith Barney Inc. and Piper Jaffray Inc. James has experience working with a wide range of clients, including individuals, high-net-worth individuals, corporations, and institutions. James provides a variety of financial services, including financial planning, portfolio management, and investment advisory services. James is committed to helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
NE
09/01/2016 - Present
Robert W. Baird & Co. Inc. (Omaha NE)
NY
10/03/1994 - 10/27/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
MN
05/21/1987 - 10/11/1994
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
IA
Issued 09/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/06/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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