Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Baroutas is an investment advisor representative with B. Riley Wealth Advisors, Inc. James has been in the industry since 1984 and has a wide range of experience. James is currently registered with the state of New Jersey and New York. James has a proven track record of success in helping clients achieve their financial goals. James is a highly experienced and knowledgeable advisor who is dedicated to providing clients with personalized financial advice. James is committed to helping clients make informed financial decisions that are in their best interests.
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.
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
NY
07/25/2022 - Present
B. Riley Wealth Advisors, Inc. (New York NY)
NY
05/31/2011 - 01/26/2015
DOMINICK & DOMINICK LLC (NEW YORK NY)
NY
04/15/2011 - 05/23/2011
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
06/11/1999 - 04/20/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
06/29/1998 - 04/09/1999
WARBURG DILLON READ LLC (NEW YORK NY)
CT
09/15/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
04/05/1991 - 08/20/1997
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
02/18/1987 - 03/25/1991
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/27/1984 - 12/19/1986
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 01/30/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1985
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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