Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Marquardt is a financial advisor at Raymond James Financial Services Advisors, Inc. James has been in the financial industry since 1988 and has experience working with high-net-worth individuals, corporations, and retirement plans. James offers financial planning, portfolio management, and investment advisory services to individuals, businesses, and retirement plans. James also provides educational seminars and other services. James is registered with the Securities and Exchange Commission (SEC) and is a member of the Financial Industry Regulatory Authority (FINRA).
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
MN
10/31/2018 - Present
Raymond James Financial Services Advisors, Inc. (ROCHESTER MN)
MN
10/06/2004 - 01/27/2015
LPL FINANCIAL LLC (ROCHESTER MN)
FL
08/12/2004 - 09/15/2004
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
CA
01/03/2000 - 08/17/2004
CUSO FINANCIAL SERVICES, L.P. (SAN DIEGO CA)
MN
02/17/1998 - 01/12/2000
NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
NJ
08/05/1988 - 02/13/1998
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
08/05/1988 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BC
Issued 08/03/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/2004
Series 24 - General Securities Principal Examination
BC
Issued 03/13/1997
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/03/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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