Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames William Riefe is a financial advisor with over 20 years of experience in the financial industry. James has been registered with Charles Schwab & Co., Inc. since 2014. Previously, James was a registered representative with Raymond James & Associates, Inc. and J.J.B. Hilliard, W.L. Lyons, Inc. James holds FINRA Series 7, 9, 10, 63, and 66 licenses. James is licensed to provide investment advice in 29 states, including Texas, California, and New York. James has experience providing financial planning, portfolio management, and wrap fee programs to individuals and families. James also has experience providing investment advisory services to corporations and businesses. In addition to James' work with Charles Schwab & Co., Inc., James is also a rental property owner and the Treasurer of Saddle Creek Homeowner's Association.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
03/12/2014 - Present
Charles Schwab & CO., Inc. (Dallas TX)
MI
02/15/2008 - 06/26/2009
RAYMOND JAMES & ASSOCIATES, INC. (MIDLAND MI)
MI
06/29/2004 - 02/19/2008
J.J.B. HILLIARD, W.L. LYONS, INC. (MIDLAND MI)
BOTH
Issued 9/25/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/17/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/27/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/29/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/2/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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