James Proctor, financial advisor Duluth MN

James Proctor

CRD Number: 1035169
Current Firm: Rbc Capital Markets, LLC

James Proctor (CRD# 1035169) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Duluth, MN and has over 42 years of experience in the finance industry. James Proctor has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

Similar Advisors
Christopher Anderson, financial advisor Duluth MN
Christopher B. Anderson
CRD# 5369842
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Similar Advisors
John Anderson, Sr., financial advisor Duluth MN
John H. Anderson, Sr.
CRD# 820126
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Similar Advisors
Dale Anich, financial advisor Duluth MN
Dale A. Anich
CRD# 1283578
Split Rock Private Trading And Wealth Management LLC
Professional Designations
Company Name Location Dates Years
Rbc Capital Markets, LLC Duluth, MN Mar 2008 - Current 16
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1982
S66 NASAA Uniform Combined State Law Examination Jan 2001
Contact Info for James H. Proctor
Phone Number: 212-858-7000
Registered State(s):
  • MN
  • TX
  • VI
By the Numbers
  • Total Assets Under Management
    201,264
    MILLIONS
  • Total Number of Accounts
    451,404
    ACCOUNTS
  • Average Account Value
    $445,862
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • 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, VI, VT, WA, WI, WV, WY

Ready to hire a financial advisor? Get competitive proposals from James Proctor and other advisors.
BADGES

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database derived from SEC.gov data covering every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.