Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Lee Rathje has been in the financial services industry since 1976. James is currently registered with Wells Fargo Clearing Services, LLC. James is registered in multiple states across the United States. James also previously held licenses with A. G. EDWARDS & SONS, INC. and LOEWI & CO., INCORPORATED. James has passed the Uniform Investment Adviser Law Examination, the Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the AMEX Put and Call Exam, and the General Securities Representative Examination. James offers financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional 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.
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.
Investment consulting services to institutional clients
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.
1
2
IA
01/01/2008 - Present
Wells Fargo Clearing Services, LLC (DAVENPORT IA)
IA
01/03/1978 - 01/03/2008
A. G. EDWARDS & SONS, INC. (DAVENPORT IA)
NA
12/01/1976 - 03/06/1978
LOEWI & CO., INCORPORATED
IA
Issued 11/25/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/21/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/1978
PC - AMEX Put and Call Exam
BC
Issued 11/20/1976
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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