Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Raker is a financial advisor with over 20 years of experience in the industry. James is a Chartered Financial Analyst and is currently registered with Capital Client Group, Inc. in California. Previously, James was registered with Fidelity Brokerage Services LLC and Fidelity Investments Institutional Services Company, Inc. James has held various roles throughout their career, including working with American Funds/Capital Group Co's. and American Funds - Capital Group Companies.
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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
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2
CA
05/30/2013 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
IL
01/01/2008 - 01/20/2009
FIDELITY BROKERAGE SERVICES LLC (CHICAGO IL)
IL
05/29/2003 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (CHICAGO IL)
RI
03/07/2002 - 05/29/2003
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
BC
Issued 06/12/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2002
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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