James E. Rutherford

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Saratoga Springs, NY 12866

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CRD#: 2053702

Professional summary

James Edward Rutherford is a registered financial advisor currently at QUARTZ PARTNERS INVESTMENT MANAGEMENT located in Saratoga Springs, New York and ETICO PARTNERS, LLC located in Saratoga Springs, New York.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. James has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Rutherford's CRS (Customer Relationship Summary).

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

May 2, 2023 - Present

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Office #1: 19 Railroad Place Suite 202, Saratoga Springs, NY 12866

RIA

CRD#: 174327

Saratoga Springs, NY

Current

January 29, 2018 - Present

ETICO PARTNERS, LLC

Office #1: 19 Railroad Pl, Ste 202, Saratoga Springs, NY 12866

CRD#: 122481

Saratoga Springs, NY

Past

March 6, 2020 - May 1, 2020

D. BORAL CAPITAL

CRD#: 103792

NEW YORK, NY

Past

May 2, 2016 - October 25, 2023

ETICO WEALTH MANAGEMENT LLC

RIA

CRD#: 151046

CLIFTON PARK, NY

Past

April 4, 2016 - November 29, 2017

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

CLIFTON PARK, NY

Past

October 8, 2015 - April 11, 2016

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Rensselear, NY

Past

September 17, 2015 - April 11, 2016

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

Averill Park, NY

Past

April 4, 2014 - November 13, 2015

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

RIA

CRD#: 124446

RENSSELAER, NY

Past

January 21, 2010 - September 29, 2015

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

RENSSELAER, NY

Past

December 24, 2009 - January 20, 2010

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

NEW YORK, NY

Past

February 28, 2005 - December 31, 2009

MCGINN, SMITH & CO., INC.

CRD#: 8453

CLIFTON PARK, NY

Past

December 6, 2001 - February 25, 2005

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

June 26, 2001 - December 11, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

December 19, 2000 - December 14, 2001

AUERBACH, POLLAK & RICHARDSON INC.

CRD#: 29824

STAMFORD, CT

Past

January 31, 1995 - December 19, 2000

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

November 14, 1990 - January 23, 1995

FAIRCHILD FINANCIAL GROUP, INC.

CRD#: 21404

NEW YORK, NY

Past

May 15, 1990 - October 24, 1990

STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297

LAS VEGAS, NV

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CRD#: 174327 / SEC#: 801-80822

RIA

Registered Investment Advisory firm - (1/20/2015 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/3/2018)

Connecticut
(2/26/2018)

Florida
(2/26/2018)

Georgia
(4/13/2018)

New York
(5/2/2018)

IAR

New York
(5/2/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/12/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/24/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1990

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 5/11/1990

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/5/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/23/1992

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CRD#: 174327 / SEC#: 801-80822

RIA

Registered Investment Advisory firm - (1/20/2015 Approved)

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Contact information

Main Address

19 Railroad Place Suite 202, Saratoga Springs, NY 12866

Mailing Address

Phone number

(800) 433-0422

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

QUARTZ PARTNERS ADV PART 2A: CLIENT BROCHURE (3/31/2025)

QUARTZ PARTNERS WRAP BROCHURE (3/31/2025)

ETICO ADV 2A PRIVATE CLIENT BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,124
AUM (Assets Under Management)	$ 281,034,901

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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James E. Rutherford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Edward Rutherford's CRS (Customer Relationship Summary).

Certified licenses

Experience

ETICO PARTNERS, LLC

D. BORAL CAPITAL

ETICO WEALTH MANAGEMENT LLC

DINOSAUR FINANCIAL GROUP, L.L.C

CETERA INVESTMENT ADVISERS LLC

SUMMIT BROKERAGE SERVICES, INC.

J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC

J.P. TURNER & COMPANY, L.L.C.

DINOSAUR FINANCIAL GROUP, L.L.C

MCGINN, SMITH & CO., INC.

J.P. TURNER & COMPANY, L.L.C.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

AUERBACH, POLLAK & RICHARDSON INC.

AMERICAN FRONTEER FINANCIAL CORPORATION

FAIRCHILD FINANCIAL GROUP, INC.

STEVEN L. FALK & ASSOCIATES INC.

Primary Firm SEC Registration

QUARTZ PARTNERS INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/12/2014

Series 63

Date: 10/24/1990

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1990

Series 22

Date: 5/11/1990

Series 24

Date: 11/5/1993

Series 4

Date: 9/23/1992

FINRA

Current Firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUARTZ PARTNERS INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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