Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen Kent is a registered representative with RBC Capital Markets, LLC. James has been in the securities industry for over 23 years and is currently registered with the state of Washington. James holds a Series 63, Series 65, Series 7, Series 9, Series 10, Series 4, Series 24, and SIE licenses. James is also a registered investment advisor with the state of Washington. Prior to joining RBC Capital Markets, LLC, James worked at UBS Financial Services Inc. for 9 years. James has a long history of experience in the securities industry and is committed to providing clients with high-quality financial advice and services.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
WA
05/06/2024 - Present
RBC Capital Markets, LLC (SEATTLE WA)
WA
11/13/2014 - 05/14/2024
UBS FINANCIAL SERVICES INC. (SEATTLE WA)
WA
01/03/2004 - 11/06/2014
SCOTTRADE, INC. (SEATTLE WA)
NJ
05/01/2002 - 12/31/2003
HARRIS INVESTOR SERVICES LLC (JERSEY CITY NJ)
WA
04/26/2000 - 05/01/2002
HARRIS INVESTORLINE INC. (SEATTLE WA)
IA
Issued 03/30/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/06/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/09/2010
Series 4 - Registered Options Principal Examination
BC
Issued 11/26/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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