Jim R. Netzband, Jr.
Professional summary
Jim Richard Netzband, Jr., who also goes by Jim Richard Netzband, Jim Netzband, Jimmy Netzband, Jim R Netzband, Jim Richard Netzband Jr., is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Clayton, North Carolina and FIDELITY BROKERAGE SERVICES LLC located in Durham, North Carolina.
Jim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Jim has worked at 10 firms and has passed the Series 63, Series 66, Series 6TO, Series 7TO, SIE, Series 7, Series 6, Series 10, Series 9, Series 26 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jim Richard Netzband, Jr.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 100 New Millennium Way, Durham, NC 27709August 16, 2022 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 New Millennium Way, Durham, NC 27709September 6, 2023 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
August 1, 2017 - August 6, 2020
VALIC FINANCIAL ADVISORS, INC.
June 12, 2017 - August 6, 2020
VALIC FINANCIAL ADVISORS, INC.
January 8, 2016 - April 6, 2016
ALLSTATE FINANCIAL SERVICES, LLC
December 19, 2014 - August 28, 2015
OSAIC SERVICES, INC.
May 14, 2014 - June 19, 2014
FBL MARKETING SERVICES, LLC
March 18, 2013 - March 10, 2014
ALLSTATE FINANCIAL SERVICES, LLC
March 24, 2010 - February 6, 2013
FARMERS FINANCIAL SOLUTIONS, LLC
March 7, 2008 - December 18, 2009
FARMERS FINANCIAL SOLUTIONS, LLC
January 3, 2006 - August 20, 2007
WELLS FARGO INVESTMENTS, LLC
September 22, 2005 - August 20, 2007
WELLS FARGO INVESTMENTS, LLC
January 30, 2004 - July 13, 2005
KEYBANC CAPITAL MARKETS INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/4/2022)
(11/4/2022)
(3/31/2025)
(11/4/2022)
(3/31/2025)
(11/4/2022)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 7/3/2022
General Securities Representative ExaminationFINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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