James M. Rauh
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 Meigs Rauh was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 11 firms and has passed the Series 63, Series 82TO, SIE, Series 1, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2022 - July 31, 2025
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
November 10, 2020 - January 12, 2022
GROWTH CAPITAL SERVICES, INC.
July 13, 2015 - February 13, 2018
MARIETTA INVESTMENT PARTNERS, LLC
May 10, 2011 - October 16, 2013
NORTHERN TRUST SECURITIES, INC.
September 3, 2010 - April 26, 2011
HIRTLE, CALLAGHAN & CO., LLC
June 2, 1999 - May 3, 2010
NORTHERN TRUST SECURITIES, INC.
July 2, 1997 - January 22, 1998
SEGERDAHL & COMPANY, INC.
August 2, 1994 - July 12, 1995
INVEST FINANCIAL CORPORATION
May 18, 1983 - July 14, 1992
ROBERT W. BAIRD & CO. INCORPORATED
November 6, 1975 - November 4, 1986
ILG SECURITIES CORPORATION
February 1, 1975 - November 23, 1975
TOWER SQUARE SECURITIES, INC.
February 5, 1974 - January 16, 1980
ROBERT W. BAIRD & CO. INCORPORATED
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
Series 82TO
Date: 11/10/2020
Limited Representative-Private Securities OfferingsSeries 1
Date: 1/30/1974
Registered Representative ExaminationSeries 8
Date: 6/13/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
CRD#: 154559 / SEC#: , 8-68648
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
