JV
James E. Vigue
RBC CAPITAL MARKETS
Naperville, IL
Some features on this profile are disabled
CRD#: 4295756
JV
Professional summary
James Earl Vigue, AIF®, CIMA®, who also goes by James E VIgue, Jim Earl Vigue, Jimy Earl Vigue, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Naperville, Illinois.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. James has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James E Vigue | Jim Earl Vigue | Jimy Earl Vigue
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.
CRS (Client Relationship Summary) - RIA
Click below to view James Earl Vigue's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Earl Vigue's 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®
Experience
Current
January 27, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #2: 227 West Monroe Street Suite 2850, Chicago, IL 60606RIA
BD
CRD#: 31194
Naperville, IL
Current
January 18, 2022 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 227 West Monroe Street Suite 2850, Chicago, IL 60606RIA
BD
CRD#: 31194
Chicago, IL
Past
January 4, 2021 - January 7, 2022
AMUNDI ASSET MANAGEMENT US, INC.
RIA
CRD#: 107719
BOSTON, MA
Past
November 24, 2015 - December 31, 2020
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
RIA
CRD#: 138756
BOSTON, MA
Past
November 16, 2015 - January 7, 2022
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
Past
June 17, 2010 - November 4, 2015
AMG FUNDS LLC
RIA
CRD#: 153456
STAMFORD, CT
Past
March 1, 2006 - June 18, 2010
AMG DISTRIBUTORS, INC.
RIA
CRD#: 27314
CHICAGO, IL
Past
March 1, 2006 - November 4, 2015
AMG DISTRIBUTORS, INC.
BD
CRD#: 27314
STAMFORD, CT
Past
December 1, 2005 - February 22, 2006
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
SKOKIE, IL
Past
June 1, 2004 - December 1, 2005
CHARTER ONE SECURITIES, INC.
BD
CRD#: 13373
CLEVELAND, OH
Past
March 10, 2004 - June 3, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NORTHBROOK, IL
Past
February 3, 2004 - June 3, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
February 2, 2001 - October 15, 2003
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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.RR
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
RR
Alabama(2/6/2025)
RR
Alaska(2/6/2025)
RR
Arizona(2/6/2025)
RR
Arkansas(1/18/2022)
RR
California(2/6/2025)
RR
Colorado(2/6/2025)
RR
Connecticut(2/6/2025)
RR
Delaware(2/6/2025)
RR
District of Columbia(2/6/2025)
RR
Florida(2/6/2025)
RR
Georgia(2/6/2025)
RR
Hawaii(2/6/2025)
RR
Idaho(2/6/2025)
RR
Illinois(1/18/2022)
IAR
Illinois(1/27/2022)
RR
Indiana(1/18/2022)
RR
Iowa(1/18/2022)
RR
Kansas(1/18/2022)
RR
Kentucky(1/18/2022)
RR
Louisiana(2/6/2025)
RR
Maine(2/6/2025)
RR
Maryland(2/6/2025)
RR
Massachusetts(1/18/2022)
RR
Michigan(1/18/2022)
RR
Minnesota(1/18/2022)
RR
Mississippi(2/6/2025)
RR
Missouri(1/18/2022)
RR
Montana(2/6/2025)
RR
Nebraska(1/18/2022)
RR
Nevada(2/6/2025)
RR
New Hampshire(2/6/2025)
RR
New Jersey(2/6/2025)
RR
New Mexico(2/6/2025)
RR
New York(2/6/2025)
RR
North Carolina(2/6/2025)
RR
North Dakota(1/18/2022)
RR
Ohio(1/18/2022)
RR
Oklahoma(1/18/2022)
RR
Oregon(2/6/2025)
RR
Pennsylvania(2/6/2025)
RR
Puerto Rico(2/6/2025)
RR
Rhode Island(2/6/2025)
RR
South Carolina(2/6/2025)
RR
South Dakota(1/18/2022)
RR
Tennessee(2/6/2025)
RR
Texas(2/6/2025)
RR
Utah(2/6/2025)
RR
Vermont(2/6/2025)
RR
Virgin Islands(2/6/2025)
RR
Virginia(2/6/2025)
RR
Washington(2/6/2025)
RR
West Virginia(2/6/2025)
RR
Wisconsin(1/18/2022)
RR
Wyoming(2/6/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,781
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 511,871 |
| AUM (Assets Under Management) | $ 310,428,968,904 |
Disclosures
| Regulatory Event | 367 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
