James P. Maclean
Professional summary
James Paul Maclean, who also goes by Jim Maclean, is a registered financial advisor currently at RBC PRIVATE COUNSEL (USA) INC. .
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 2 firms and has passed the Series 63, Series 38 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Paul Maclean's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 24, 2013 - Present
RBC PRIVATE COUNSEL (USA) INC.
Office #1: 200 Bay Street, South Tower 25th Floor, Toronto, Ontario, M5J 2J2December 3, 1997 - September 21, 2012
BMO NESBITT BURNS SECURITIES LTD.
Primary Firm SEC Registration
RBC PRIVATE COUNSEL (USA) INC.
CRD#: 109648 / SEC#: 801-55491
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/24/2013)
Exams
Series 38
Date: 12/2/1997
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
RBC PRIVATE COUNSEL (USA) INC.
CRD#: 109648 / SEC#: 801-55491
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,556 |
| AUM (Assets Under Management) | $ 6,827,149,933 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/25/2025 | ||
| 10/28/2024 | ||
| 09/28/2023 | ||
| 01/27/2023 |
Red Flags
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