Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Franklyn Vandewalle is a registered investment advisor and broker-dealer with RBC Capital Markets, LLC. James has over 40 years of experience in the financial industry, having held previous positions at Legg Mason Wood Walker, Incorporated, Chase Investment Services Corp., Smith Barney Inc., Shearson Lehman Hutton Inc., E. F. Hutton & Company Inc., and Shearson/American Express Inc. James holds the Series 7, Series 8, Series 9, Series 10, Series 31, and Series 63 licenses, as well as the Series 65. James is also registered as an investment advisor representative in New York and the Virgin Islands.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
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2
NY
03/07/2016 - Present
RBC Capital Markets, LLC (JERICHO NY)
NY
05/02/1997 - 01/25/2006
LEGG MASON WOOD WALKER, INCORPORATED (JERICHO NY)
IL
10/28/1994 - 05/06/1997
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
NY
01/16/1989 - 11/03/1994
SMITH BARNEY INC. (NEW YORK NY)
NY
04/11/1988 - 02/06/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
10/24/1983 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
08/18/1978 - 10/04/1983
SHEARSON/AMERICAN EXPRESS INC.
NA
12/05/1977 - 08/07/1978
CHESTMAN SECURITIES CO., INC.
IA
Issued 04/05/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/22/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
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FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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