Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rothenberger is a financial professional with a background in investment banking and experience in the securities industry. James has worked with Meridian Capital LLC and Moss Adams Capital LLC. Currently, James Rothenberger is registered with BA Securities, LLC and is licensed to provide financial advice in California, Florida, Pennsylvania, and Washington.
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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2
PA
07/06/2024 - Present
BA Securities, LLC (W. CONSHOHOCKEN PA)
WA
02/02/2021 - 03/04/2023
MERIDIAN CAPITAL LLC (SEATTLE WA)
CA
08/29/2014 - 01/06/2021
MOSS ADAMS CAPITAL LLC (NEWPORT BEACH CA)
BC
Issued 09/18/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2014
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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