Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Marquardt is a financial advisor at Raymond James Financial Services Advisors, Inc. located in Rochester, Minnesota. James has been in the industry since 1988 and has worked at several firms over the years, including LPL FINANCIAL LLC, RAYMOND JAMES FINANCIAL SERVICES, INC., and CUSO FINANCIAL SERVICES, L.P.. James is licensed in various states, including Minnesota, Texas, Arizona, Colorado, Florida, Illinois, Indiana, Iowa, Kansas, Kentucky, Maryland, Michigan, Missouri, Nebraska, Nevada, New Jersey, Oregon, South Dakota, Wisconsin.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
MN
10/31/2018 - Present
Raymond James Financial Services Advisors, Inc. (ROCHESTER MN)
MN
10/06/2004 - 01/27/2015
LPL FINANCIAL LLC (ROCHESTER MN)
FL
08/12/2004 - 09/15/2004
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
CA
01/03/2000 - 08/17/2004
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
MN
02/17/1998 - 01/12/2000
NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
NJ
08/05/1988 - 02/13/1998
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
08/05/1988 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BC
Issued 8/3/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2004
Series 24 - General Securities Principal Examination
BC
Issued 3/13/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/7/2000
Series 7 - General Securities Representative Examination
BC
Issued 8/3/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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