Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Wozniak is a financial advisor with RBC Capital Markets, LLC. James has been in the industry since 1982. James is registered to provide investment advice and services in Wisconsin and Texas. James also has a Series 7, 6, 22, 63 and 65 license. Prior to joining RBC Capital Markets, James worked at DAIN RAUSCHER INCORPORATED, THE MILWAUKEE COMPANY, STIFEL, NICOLAUS & COMPANY, INCORPORATED, and CHUBB SECURITIES CORPORATION.
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
WI
04/15/1998 - Present
RBC Capital Markets, LLC (MILWAUKEE WI)
NA
10/17/1988 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NA
05/23/1983 - 10/17/1988
THE MILWAUKEE COMPANY
NA
02/14/1983 - 05/23/1983
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NA
04/27/1982 - 03/02/1983
CHUBB SECURITIES CORPORATION
IA
Issued 06/14/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/12/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1983
Series 7 - General Securities Representative Examination
BC
Issued 12/22/1982
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 03/10/1982
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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