James F. Rudwall

RUDWALL WEALTH MANAGEMENT LLC

Libertyville, IL

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CRD#: 1070818

Professional summary

James Field Rudwall, who also goes by James F Rudwall, is a registered financial advisor currently at RUDWALL WEALTH MANAGEMENT LLC located in Libertyville, Illinois.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James F Rudwall

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Kappa Beta Phi A fraternal society used primarily for social and honorific purposes for financial personnel.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Field Rudwall's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 25, 2017 - Present

RUDWALL WEALTH MANAGEMENT LLC

RIA

CRD#: 284515

Libertyville, IL

Past

July 11, 2016 - November 23, 2016

INSIGHT SECURITIES, INC.

RIA

CRD#: 5611

Highland Park, IL

Past

July 8, 2016 - November 23, 2016

INSIGHT SECURITIES, INC.

CRD#: 5611

Highland Park, IL

Past

March 22, 2016 - April 26, 2016

MORGAN STANLEY

RIA

CRD#: 149777

CHICAGO, IL

Past

March 22, 2016 - April 26, 2016

MORGAN STANLEY

CRD#: 149777

CHICAGO, IL

Past

November 13, 2008 - April 7, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHICAGO, IL

Past

November 13, 2008 - April 7, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHICAGO, IL

Past

May 4, 1992 - November 15, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

October 20, 1982 - November 15, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(1/25/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/15/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/23/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/1982

General Securities Representative Examination

Current Firm

RUDWALL WEALTH MANAGEMENT LLC

CRD#: 284515 / SEC#: 801-108714

RIA

Registered Investment Advisory firm - (4/17/2019 Terminated)

Illinois

Registered Investment Advisory firm - (9/13/2018 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Libertyville, IL

Mailing Address

Phone number

(847) 987-5915

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	31
AUM (Assets Under Management)	$ 21,661,218

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James F. Rudwall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Field Rudwall's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSIGHT SECURITIES, INC.

INSIGHT SECURITIES, INC.

MORGAN STANLEY

MORGAN STANLEY

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/15/1994

Series 63

Date: 10/21/1982

SIE

Date: 11/23/2016

Series 7

Date: 10/16/1982

Current Firm

RUDWALL WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RUDWALL WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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