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James Harold Tanner

Saratoga Research & Investment Management

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About James Harold Tanner

James Harold Tanner is an investment advisor representative with Saratoga Research & Investment Management. James has been in the industry since 1993 and is registered with the state of California. James previously worked for Mutual Securities, Inc., IFG Network Securities, Inc., and Smith Barney Inc. James has passed the Series 7, Series 24, and Series 63 exams, and also the Uniform Investment Adviser Law Examination. James specializes in providing portfolio management services for individuals, investment companies, and pooled investment vehicles.

Firm Information

James Tanner is currently registered with Saratoga Research & Investment Management. Saratoga Research & Investment Management is an investment advisor registered with the SEC and located in Saratoga, CA. The firm manages over $2.7 billion in assets and offers a range of investment services, including portfolio management for individuals, investment companies, and pooled investment vehicles. They also provide financial planning and securities research. The firm primarily serves high-net-worth individuals, corporations, and pension and profit-sharing plans. They also serve investment companies, charitable organizations, and individuals other than high-net-worth individuals. The firm participates in wrap fee programs.
Saratoga Research & Investment Management

14471 BIG BASIN WAY, SUITE E

SARATOGA, CA 95070

$2.74B

Assets Under Management

Not reported

Total Clients

15

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

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securities research

Securities research

Fee Structure

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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percentage of assets

A percentage of the total value of assets under management is charged.

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James Tanner’s Registration & Firm History

CA

05/05/2010 - Present

Saratoga Research & Investment Management (SARATOGA CA)

CA

08/15/1996 - 09/24/2010

MUTUAL SECURITIES, INC. (SARATOGA CA)

GA

05/09/1995 - 08/15/1996

IFG NETWORK SECURITIES, INC. (ATLANTA GA)

NY

10/21/1993 - 05/16/1995

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 01/21/2010

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/12/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/26/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/20/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for James Harold Tanner.
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