Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rauh is a financial advisor who has been working in the industry since 1984. James is currently registered with North Capital Private Securities Corp. James has held several previous positions with firms such as GROWTH CAPITAL SERVICES, INC., NORTHERN TRUST SECURITIES, INC., and ROBERT W. BAIRD & CO. INCORPORATED. James has a wide range of experience in the financial services industry and holds several licenses and registrations. James is committed to providing clients with the highest quality financial advice and service.
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.
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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WI
03/07/2022 - Present
North Capital Private Securities Corp. (Menomonee Falls WI)
WI
11/10/2020 - 01/12/2022
GROWTH CAPITAL SERVICES, INC. (Menomonee Falls WI)
IL
05/10/2011 - 10/16/2013
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
WI
06/02/1999 - 05/03/2010
NORTHERN TRUST SECURITIES, INC. (MILWAUKEE WI)
WI
07/02/1997 - 01/22/1998
SEGERDAHL & CO., INC. (MILWAUKEE WI)
WI
08/02/1994 - 07/12/1995
INVEST FINANCIAL CORPORATION (APPLETON WI)
WI
05/18/1983 - 07/14/1992
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NA
11/06/1975 - 11/04/1986
INA SECURITY CORPORATION
NA
02/05/1974 - 01/16/1980
ROBERT W. BAIRD & CO. INCORPORATED
NA
02/01/1975 - 11/23/1975
TRAVELERS EQUITIES SALES, INC.
BC
Issued 09/18/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/04/1990
Series 24 - General Securities Principal Examination
BC
Issued 06/16/1986
Series 4 - Registered Options Principal Examination
BC
Issued 06/13/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/10/2020
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 09/15/2020
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/1974
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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