James Rubin, financial advisor Danville CA
83 score

James Rubin

CRD Number: 1192632
Current Firm: Mbsc Securities Corporation

James Rubin (CRD# 1192632) is an Investment Advisor Representative working at Mbsc Securities Corporation in Danville, CA and has over 14 years of experience in the finance industry.

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Company Name Location Dates Years
Mbsc Securities Corporation Santa Barbara, CA May 2014 - Current 2
Self Employed Santa Barbara, CA Sep 2013 - May 2014 < 1
Fmb Retirement Services Westlake Village, CA Jun 2012 - Sep 2013 1
Independent Financial Group Westlake Village, CA Mar 2012 - Jun 2012 < 1
Fmb Wealth Management Westlake Village, CA Feb 2012 - Jun 2012 < 1
Ventura Coastal Ventura, CA Jul 2010 - Dec 2011 1
Nrp Advisors, Inc. Bryan, OH Oct 2009 - Nov 2010 1
Wells Fargo Investments, LLC Santa Barbara, CA Oct 2006 - Sep 2009 2
Fisher Investments, Inc. Woodside, CA May 2002 - Sep 2006 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 2006
S65 NASAA Investment Advisors Law Examination Jul 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for James R. Rubin
Phone Number: 212-922-7145
Firm Website: http://www.dreyfus.com
Registered State(s):
  • CA
  • NV
By the Numbers
  • Total Assets Under Management
    1,354
    MILLIONS
  • Total Number of Accounts
    4,600
    ACCOUNTS
  • Average Account Value
    $294,400
Compensation Options
  • A percentage of assets under your management
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
83

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