James Rawdon
Professional Summary
James Rawdon, who also goes by James Philip Rawdon, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 2000 - 2007. James had worked at 2 firms and has passed the Series 21 and Series 25 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Philip Rawdon
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
27 years in the financial services industry
Current & Past Employments
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Current Firm
LABRANCHE & CO. | LABRANCHE & CO. LLC
Contact Information
Established
New York since 06/30/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LABRANCHE & CO INC. | SOLE MEMBER | — |
| BURKE, WILLIAM JOSEPH III | MANAGING DIRECTOR OF OPERATIONS | 848502 |
| COLONNA, SALVATORE ANTHONY | DEPUTY CHIEF COMPLIANCE OFFICER | 1844342 |
| HAYWARD, ALFRED OWEN JR | CEO,EXECUTIVE VICE PRESIDENT | — |
| KING, TARA LYNN | CHIEF COMPLIANCE OFFICER | — |
| LABRANCHE, GEORGE MICHAEL IV | CHAIRMAN, & SENIOR MANAGING DIRECTOR | — |
| MCLAUGHLIN, THOMAS G | CHIEF OPERATING OFFICER | — |
| MIRRO, GERARD ANTHONY | CHIEF FINANCIAL OFFICER | 4334937 |
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 21 — NYSE Front Line Specialist Clerk
Passed May 2000Series 25 — NYSE Trading Assistant Examination
Passed May 1999Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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