Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alexander Rie is a financial advisor with Transamerica Retirement Advisors, LLC. James has been in the financial services industry since 1995 and has experience working with clients in a variety of areas including retirement planning, investment management, and financial planning. James has been registered with the Financial Industry Regulatory Authority (FINRA) since 1992.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
NJ
06/01/2022 - Present
Transamerica Retirement Advisors, LLC (Old Tappen NJ)
NJ
10/06/2021 - 05/19/2022
VALIC FINANCIAL ADVISORS, INC. (MOUNT LAUREL NJ)
NY
12/14/2017 - 03/09/2020
MANNING & NAPIER INVESTOR SERVICES, INC. (FAIRPORT NY)
IL
03/21/2016 - 06/14/2016
NUVEEN SECURITIES, LLC (CHICAGO IL)
NY
04/26/2012 - 03/21/2016
TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)
NY
02/05/2000 - 02/29/2012
ALLIANCEBERNSTEIN INVESTMENTS, INC. (NEW YORK NY)
RI
05/01/1998 - 01/26/2000
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
MA
11/01/1996 - 04/06/1998
EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)
MA
01/23/1996 - 11/01/1996
EATON VANCE DISTRIBUTORS, INC. (BOSTON MA)
NY
07/10/1995 - 12/07/1995
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
MA
03/01/1995 - 07/07/1995
COLONIAL INVESTMENT SERVICES, INC. (BOSTON MA)
NA
04/21/1992 - 03/01/1995
COLONIAL INVESTMENT SERVICES
BOTH
Issued 10/12/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/17/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/31/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/17/1993
Series 7 - General Securities Representative Examination
BC
Issued 04/20/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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