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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rehfeld is a financial advisor with over 10 years of experience in the financial services industry. James is currently registered with Morgan Stanley, and has held previous positions with UBS Financial Services Inc. and Lighthouse Capital Group, LLC. James is registered to offer securities and investment advisory services in 40 states, including California, Texas, and Florida. James holds the Series 7 and Series 66 licenses and the SIE designation, which allows James to offer a wide range of financial services. James is a strong advocate for financial literacy and strives to educate clients on how to make informed financial decisions. James is also committed to providing personalized financial advice and building long-term relationships with clients.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/03/2020 - Present
Morgan Stanley (Beverly Hills CA)
CA
05/01/2015 - 06/10/2016
UBS FINANCIAL SERVICES INC. (CENTURY CITY CA)
CA
06/30/2014 - 04/02/2015
LIGHTHOUSE CAPITAL GROUP, LLC (pasadena CA)
SC
09/17/2013 - 06/24/2014
SANDLAPPER SECURITIES, LLC (GREENVILLE SC)
BOTH
Issued 09/30/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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