James RawlingsCRD Number: 1047695
Current Firm: Royal Alliance Associates, Inc.
James Rawlings (CRD# 1047695) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in South Jordan, UT and has over 35 years of experience in the finance industry. James Rawlings 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.
Uma Financial Services Inc.
|Oakbridge Asset Management, LLC||South Jordan, UT||Jan 2008 - Current||9|
|Royal Alliance Associates, Inc.||South Jordan, UT||Jul 1996 - Current||21|
|Spectra Advisors||South Jordan, UT||Jan 2007 - Dec 2007||< 1|
|Spectra Management, LLC||South Jordan, UT||Apr 1988 - Dec 2006||18|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 1981|
|S65||NASAA Investment Advisors Law Examination||Jan 1992|
Total Assets Under Management4,629MILLIONS
Total Number of Accounts19,113ACCOUNTS
Average Account Value$242,202
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- 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
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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