JR
James L. Rehfeld
UNITED CAPITAL FINANCIAL ADVISORS
LOS ANGELES, CA 90067
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CRD#: 6177894
JR
Professional summary
James Laurence Rehfeld, who also goes by James L Rehfeld, Jim L Rehfeld, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Los Angeles, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James L Rehfeld | Jim L Rehfeld
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.
1. JAMES REHFELD CONSULTING; NOT INVESTMENT RELATED; LOS ANGELES, CA; MEDIA ENTERTAINMENT CONSULTING; SOLE PROPRIETOR/OWNER; APR 2017; TIME SPENT DURING TRADING HOURS: 0; TIME SPENT DURING NON-TRADING HOURS: LESS THAN 10HRS/MONTH; CONSULT ON STRATEGIC PLANNING, NETWORKING, FILM DEVELOPMENT, PRODUCT DISTRIBUTION AND CORPORATE STRUCTURING. 2. CHEROKEE RENTAL PROPERTY; NOT INVESTMENT RELATED; LOS ANGELES, CA; FAMILY RENTAL REAL ESTATE; OWNER; JAN 2016; TIME SPENT DURING TRADING HOURS: 0; TIME SPENT DURING NON-TRADING HOURS: LESS THAN 5HRS/MONTH; PROPERTY MANAGEMENT. 3. HOLLYWOOD & VINE RESIDENCES ASSOCIATION (HOA); NOT INVESTMENT RELATED; LOS ANGELES, CA; HOMEOWNERS ASSOCIATION; BOARD MEMBER/VP; SEPT 2024; TIME SPENT DURING TRADING HOURS: LESS THAN 5HRS/MONTH; TIME SPENT DURING NON-TRADING HOURS: LESS THAN 10HRS/MONTH; OVERSIGHT OF BUILDING MANAGEMENT.
CRS (Client Relationship Summary) - RIA
Click below to view James Laurence Rehfeld'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®
NoneExperience
Current
August 22, 2025 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 1901 Avenue Of The Stars Ste 200, Los Angeles, CA 90067RIA
CRD#: 134600
LOS ANGELES, CA
Past
May 27, 2016 - August 25, 2025
MORGAN STANLEY
RIA
CRD#: 149777
Los Angeles, CA
Past
May 26, 2016 - August 25, 2025
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
May 1, 2015 - June 10, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CENTURY CITY, CA
Past
May 1, 2015 - June 10, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CENTURY CITY, CA
Past
June 30, 2014 - April 2, 2015
LIGHTHOUSE CAPITAL GROUP, LLC
BD
CRD#: 169135
pasadena, CA
Past
September 17, 2013 - June 24, 2014
SANDLAPPER SECURITIES, LLC
BD
CRD#: 137906
GREENVILLE, SC
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)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.Highlighted states indicate IAR registrations
IAR
California(8/22/2025)
IAR
Texas(8/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
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.
