James R. Viator
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 Ray Viator, who also goes by James R VIator, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 9 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2016 - February 5, 2018
EDELMAN FINANCIAL ENGINES
November 11, 2013 - September 28, 2015
VANGUARD MARKETING CORPORATION
June 1, 2007 - September 23, 2008
WELLS FARGO INVESTMENTS, LLC
May 31, 2007 - September 23, 2008
WELLS FARGO INVESTMENTS, LLC
January 26, 2007 - June 15, 2007
E*TRADE SECURITIES LLC
July 24, 2006 - November 20, 2006
QUESTAR ASSET MANAGEMENT, INC.
May 8, 2006 - November 17, 2006
USALLIANZ SECURITIES, INC.
March 9, 2004 - May 10, 2006
WELLS FARGO INVESTMENTS, LLC
March 5, 2004 - May 10, 2006
WELLS FARGO INVESTMENTS, LLC
February 24, 2004 - March 1, 2004
VALIC FINANCIAL ADVISORS, INC.
February 24, 2004 - March 1, 2004
VALIC FINANCIAL ADVISORS, INC.
September 27, 2002 - April 8, 2004
STRATEGIC ADVISERS LLC
December 8, 1999 - December 10, 2003
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
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.
