Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Henry Proctor is an investment advisor representative who has been in the industry since 1982. James is registered with RBC Capital Markets, LLC and has been with the firm since March 2008. James is licensed in a variety of states and has experience in various investment areas including financial planning, portfolio management, and pension consulting. Prior to joining RBC Capital Markets, LLC, James was registered with Piper Jaffray Inc. James holds a variety of industry licenses including Series 6, 7, 9, 10, 22, 31, 63, 66, and SIE. James has also received the Certified Financial Planner designation.
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.
1
2
MN
04/24/2018 - Present
RBC Capital Markets, LLC (DULUTH MN)
MN
02/24/1989 - 06/24/1998
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NA
03/22/1984 - 03/07/1989
DAIN BOSWORTH INCORPORATED
NA
03/25/1982 - 02/22/1984
IDS LIFE INSURANCE COMPANY
NA
03/25/1982 - 02/22/1984
IDS MARKETING CORPORATION
NA
03/25/1982 - 02/22/1984
IDS/AMERICAN EXPRESS INC.
BOTH
Issued 01/15/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/09/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/30/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 07/08/1983
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 03/18/1982
Series 6 - Investment Company Products/Variable Contracts 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.
F
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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