Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anthony Ruberto is a financial professional with over 24 years of experience in the securities industry. James is currently registered with Hilltop Securities Inc. in Dallas, TX. James has previously worked for Robert W. Baird & Co. Incorporated, RBC Capital Markets, LLC, RBC Capital Markets Corporation, Jefferies & Company, Inc. and Gabelli & Company, Inc.. James holds Series 3, 7, 55, 57TO, and SIE licenses.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
12b-1 fees
1
2
TX
08/29/2024 - Present
Hilltop Securities Inc. (DALLAS TX)
TX
06/01/2011 - 07/29/2024
ROBERT W. BAIRD & CO. INCORPORATED (Dallas TX)
TX
02/29/2008 - 04/01/2011
RBC CAPITAL MARKETS, LLC (DALLAS TX)
TX
04/23/2007 - 02/29/2008
RBC CAPITAL MARKETS CORPORATION (DALLAS TX)
TX
01/14/2000 - 03/26/2007
JEFFERIES & COMPANY, INC. (DALLAS TX)
NY
10/26/1998 - 08/23/1999
GABELLI & COMPANY, INC. (RYE NY)
BOTH
Issued 08/27/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/21/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2001
Series 3 - National Commodity Futures Examination
BC
Issued 03/29/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/31/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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