Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bingham Rawlings is a financial advisor with over 40 years of experience in the industry. James is a Registered Representative and Investment Advisor Representative who currently holds a Series 7, 24, 4, 53, 63, and 65 licenses. James is a Certified Financial Planner, has worked in the securities industry since 1982, and is currently registered with Osaic Wealth, Inc. James has also worked for several other firms including CADARET, GRANT & CO., INC., FOCUS SECURITIES, INC., AMERITRUST EQUITIES, INC., CONSOLIDATED INVESTMENT SERVICES, INC., MOUNTAIN FINANCIAL, INC., and COORDINATED EQUITIES, INC.
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
UT
08/12/2008 - Present
Osaic Wealth, Inc. (SOUTH JORDAN UT)
NY
10/28/1988 - 11/15/1996
CADARET, GRANT & CO., INC. (SYRACUSE NY)
NA
05/19/1988 - 11/16/1988
FOCUS SECURITIES, INC.
NA
10/28/1987 - 07/06/1988
AMERITRUST EQUITIES, INC.
NA
12/03/1986 - 10/22/1987
CONSOLIDATED INVESTMENT SERVICES, INC.
NA
08/16/1985 - 12/16/1986
MOUNTAIN FINANCIAL, INC.
NA
04/30/1982 - 08/19/1985
COORDINATED EQUITIES, INC.
IA
Issued 01/07/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/07/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/03/2003
Series 4 - Registered Options Principal Examination
BC
Issued 12/21/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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