Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Brian Raby is a financial advisor at B. Riley Wealth Management and has been in the industry since May 21, 1990. James is registered in 49 states and holds the Series 63, Series 7, and SIE licenses. James was previously registered with NATIONAL SECURITIES CORPORATION.
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.
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.
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WA
07/22/2022 - Present
B. Riley Wealth Management (Seattle WA)
WA
05/22/1990 - 07/22/2022
NATIONAL SECURITIES CORPORATION (SEATTLE WA)
BC
Issued 03/20/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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