Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Thomas Metcalf is a financial advisor at RBC Capital Markets, LLC, with over 40 years of experience in the industry. James is registered as a broker-dealer and investment advisor in multiple states. James has a strong track record of providing financial advice to individuals, families, and businesses. In addition to his extensive experience, James also holds a variety of licenses and certifications, including the Series 7, Series 63, and Series 65 exams. James is committed to providing his clients with personalized financial guidance that meets their unique needs and goals. James is an expert in portfolio management, financial planning, and retirement planning. James is committed to providing clients with exceptional service and building long-lasting relationships.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
CO
02/05/2015 - Present
RBC Capital Markets, LLC (GREENWOOD VILLAGE CO)
NA
12/03/1997 - 03/02/1998
DAIN RAUSCHER INCORPORATED
MO
07/01/1988 - 12/10/1997
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
05/14/1987 - 08/08/1988
L T SECURITIES, INC.
NA
04/15/1987 - 04/05/1988
PROFESSIONAL BROKERAGE SERVICES INC.
NA
04/28/1986 - 03/09/1987
HANIFEN, IMHOFF INC.
NA
09/06/1983 - 05/12/1986
E. F. HUTTON & COMPANY INC
NA
05/26/1983 - 09/14/1983
DOMINICK & DOMINICK, INCORPORATED
IA
Issued 12/09/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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