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 Reim is a financial advisor with over 35 years of experience in the financial services industry. James is a Registered Representative and Investment Advisor Representative, and holds the Series 7, 9, 10, 24, 63, and 65 licenses. James currently works for Regal Investment Advisors LLC where he provides financial planning and investment management services to individuals, families, and businesses. James has a long history of working with clients in the Erie, PA area.
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.
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.
Third party fees
1
2
PA
04/18/2018 - Present
Regal Investment Advisors LLC (Erie PA)
PA
05/11/2009 - 04/16/2018
THE INVESTMENT CENTER, INC. (MILLCREEK TOWNSHIP PA)
PA
04/02/2007 - 04/14/2009
MORGAN STANLEY & CO. INCORPORATED (ERIE PA)
PA
09/06/1995 - 04/02/2007
MORGAN STANLEY DW INC. (ERIE PA)
NJ
01/17/1984 - 08/31/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 01/26/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/05/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/2009
Series 24 - General Securities Principal Examination
BC
Issued 06/25/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/1984
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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