James M. Reiter

SAXONY SECURITIES

Billings, MT 59102

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CRD#: 4228287

Professional summary

James Michael Reiter, who also goes by Jim Reiter, is a registered financial professional currently at SAXONY SECURITIES, INC. located in Billings, Montana.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Reiter

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) - BD

Click below to view James Michael Reiter'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

December 8, 2020 - Present

SAXONY SECURITIES, INC.

Office #1: 1643 Lewis Ave Suite 8, Billings, MT 59102

CRD#: 115547

Billings, MT

Past

November 2, 2018 - December 17, 2020

OSAIC WEALTH, INC.

RIA

CRD#: 23131

BOZEMAN, MT

Past

November 2, 2018 - December 10, 2020

OSAIC WEALTH, INC.

CRD#: 23131

BOZEMAN, MT

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

BILLINGS, MT

Past

May 13, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

BILLINGS, MT

Past

November 17, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

BILLINGS, MT

Past

November 16, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

BILLINGS, MT

Past

July 17, 2002 - November 17, 2009

INVESTMENT CENTERS OF AMERICA, INC.

RIA

CRD#: 16443

BILLINGS, MT

Past

August 8, 2000 - November 17, 2009

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

BILLINGS, MT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Arizona
(12/8/2020)

Idaho
(12/8/2020)

Minnesota
(12/8/2020)

Montana
(12/8/2020)

South Dakota
(1/4/2021)

Texas
(1/4/2021)

Washington
(1/11/2021)

Wyoming
(12/8/2020)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/10/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/7/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SAXONY SECURITIES, INC.

SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

11152 S Towne Square, St. Louis, MO 63123

Mailing Address

11152 S Towne Square, St. Louis, MO 63123

Phone number

(314) 963-9336

Established

Missouri since 07/13/2001

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAXONY HOLDINGS, INC.	SHAREHOLDER
CLARK, BRIAN LESLEY	CFO	4802438
GRIFFARD, RICHARD EDWARD	PRESIDENT/CEO/DIRECTOR	2472251
KLUMP, RYAN CHRISTOPHER	COO	4762698
MATARAZZI, NATHAN DOMENICO	FINOP, PFO AND POO	4827090
PALOS, KURT ROBERT	VICE PRESIDENT	6063745
PFEIFFER, STEPHANIE ANN	CCO	2278515

Disclosures

Regulatory Event	2
Arbitration	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.

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Advisor Monitoring

Firm Stability Insights

James M. Reiter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Reiter's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

INVESTMENT CENTERS OF AMERICA, INC.

INVESTMENT CENTERS OF AMERICA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/7/2000

FINRA

Current Firm

SAXONY SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SAXONY SECURITIES, INC.

TRUST BUT VERIFY

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