James Rainwater

BANGERTER FINANCIAL SERVICES

Baltimore, MD 21224

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CRD#: 7210755

Professional summary

James Rainwater, who also goes by James Donald Rainwater Jr., is a registered financial advisor currently at BANGERTER FINANCIAL SERVICES, INC. located in Baltimore, Maryland.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. James has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Donald Rainwater Jr.

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) - RIA

Click below to view James Rainwater'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®

None

Experience

Current

June 25, 2025 - Present

BANGERTER FINANCIAL SERVICES, INC.

Office #1: 2700 Lighthouse Point E Suite 501, Baltimore, MD 21224

RIA

CRD#: 171939

Baltimore, MD

Past

November 29, 2023 - September 26, 2025

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

Bel Air, MD

Past

November 29, 2023 - December 11, 2025

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

Roseville, CA

Past

January 30, 2020 - December 8, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Bel Air, MD

Past

January 21, 2020 - December 8, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Bel Air, MD

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

Maryland
(6/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/25/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/21/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/20/2019

Securities Industry Essentials Examination

Current Firm

BANGERTER FINANCIAL SERVICES, INC.

BANGERTER FINANCIAL AND INSURANCE SERVICES, INC. | BANGERTER FINANCIAL SERVICES, INC.

CRD#: 171939 / SEC#:

California

Registered Investment Advisory firm - (10/20/2014 Approved)

Florida

Registered Investment Advisory firm - (11/16/2022 Approved)

Georgia

Registered Investment Advisory firm - (4/26/2024 Approved)

Louisiana

Registered Investment Advisory firm - (3/28/2024 Terminated)

Maryland

Registered Investment Advisory firm - (6/25/2025 Approved)

Nevada

Registered Investment Advisory firm - (8/30/2022 Approved)

Texas

Registered Investment Advisory firm - (12/6/2021 Conditional Restricted)

Utah

Registered Investment Advisory firm - (10/13/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1380 Lead Hill Blvd Suite 180, Roseville, CA 95661

Mailing Address

Phone number

(916) 965-1879

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	320
AUM (Assets Under Management)	$ 68,785,486

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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Firm Stability Insights

James Rainwater

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BANGERTER FINANCIAL SERVICES, INC.

CONCORDE ASSET MANAGEMENT, LLC

CONCORDE INVESTMENT SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/25/2019

Series 7TO

Date: 1/21/2020

SIE

Date: 12/20/2019

Current Firm

BANGERTER FINANCIAL SERVICES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BANGERTER FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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