Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Rutland Fredrick is an investment advisor representative with Cetera Investment Advisers LLC. James has been in the financial industry since February 1986. James is registered with the following states: Arizona, Arkansas, California, Colorado, Florida, Idaho, Illinois, Iowa, Maryland, Massachusetts, Mississippi, Missouri, Nebraska, Ohio, Pennsylvania, South Dakota, Texas, Washington, Wisconsin, and Wyoming. James also holds the following licenses: Series 6, Series 7, Series 22, Series 24, and SIE. James has previously been affiliated with Securian Financial Services, Inc., Hornor, Townsend & Kent, Inc., New England Securities, Foresters Equity Services, Inc., and A. G. Edwards & Sons, Inc. James specializes in providing financial planning, pension consulting, educational seminars, and portfolio management for businesses and individuals.
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.
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2
CO
08/10/2023 - Present
Cetera Investment Advisers LLC (COLORADO SPRINGS CO)
CO
03/01/2007 - 08/10/2023
SECURIAN FINANCIAL SERVICES, INC. (Colorado Springs CO)
CO
07/16/2004 - 02/28/2007
HORNOR, TOWNSEND & KENT, INC. (COLORADO SPRINGS CO)
NY
08/30/2002 - 07/08/2004
NEW ENGLAND SECURITIES (NEW YORK NY)
CA
08/02/2000 - 09/10/2002
FORESTERS EQUITY SERVICES, INC. (SAN DIEGO CA)
MO
11/17/1999 - 07/07/2000
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
08/06/1997 - 11/23/1999
NEW ENGLAND SECURITIES (NEW YORK NY)
NY
09/04/1985 - 03/12/1997
NYLIFE SECURITIES INC. (NEW YORK NY)
BC
Issued 8/29/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/28/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/23/1999
Series 7 - General Securities Representative Examination
BC
Issued 12/20/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 8/27/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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