James R. Rubin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Ross Rubin, who also goes by James R Rubin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2020 - October 31, 2022
MONARCH PLAN ADVISORS
May 14, 2014 - December 21, 2016
BNY MELLON SECURITIES CORPORATION
May 14, 2014 - December 21, 2016
BNY MELLON SECURITIES CORPORATION
July 18, 2012 - September 5, 2013
FMB RETIREMENT SERVICES
April 3, 2012 - July 2, 2012
INDEPENDENT FINANCIAL GROUP, LLC
September 9, 2009 - November 29, 2010
NRP ADVISORS, INC.
September 4, 2009 - November 29, 2010
NRP FINANCIAL, INC.
October 25, 2006 - September 14, 2009
WELLS FARGO INVESTMENTS, LLC
October 3, 2006 - September 14, 2009
WELLS FARGO INVESTMENTS, LLC
May 17, 2002 - October 6, 2006
FISHER INVESTMENTS
January 20, 1996 - May 8, 2002
MFS FUND DISTRIBUTORS, INC.
February 21, 1995 - December 15, 1995
WM FUND SERVICES, INC.
June 19, 1992 - February 21, 1995
COLONIAL INVESTMENT SERVICES
August 6, 1991 - June 23, 1992
THE ADVISORS GROUP, INC.
January 16, 1991 - September 12, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 31, 1989 - March 22, 1991
IDS LIFE INSURANCE COMPANY
July 31, 1989 - March 22, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
November 11, 1988 - October 21, 1989
COREBRIDGE CAPITAL SERVICES, INC.
August 22, 1988 - August 10, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 21, 1986 - June 9, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
December 20, 1983 - November 21, 1984
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
MONARCH PLAN ADVISORS
CRD#: 286612 / SEC#: 801-111651
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MONARCH PLAN ADVISORS
CRD#: 286612 / SEC#: 801-111651
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 136 |
| AUM (Assets Under Management) | $ 762,465,061 |
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.
