James M. Rankin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Michael Rankin was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2011 - January 10, 2020
PIMCO INVESTMENTS LLC
December 3, 2009 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
February 6, 2009 - December 8, 2009
NUVEEN FUND ADVISORS, LLC
March 4, 2003 - January 27, 2009
RITTENHOUSE ASSET MANAGEMENT, INC.
March 4, 2003 - December 8, 2009
NUVEEN SECURITIES, LLC
March 19, 1996 - February 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 1986 - May 5, 1986
FIDELITY BROKERAGE SERVICES LLC
January 29, 1985 - May 13, 1988
GWIN/SLAUGHTER SECURITIES, INC.
January 12, 1983 - March 15, 1984
UBS FINANCIAL SERVICES INC.
February 25, 1982 - May 11, 1982
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 19, 1981 - December 7, 1981
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| MURPHY, JORDAN MITCHELL | CHIEF COMPLIANCE OFFICER | 4221561 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
| WHITTEN, CANDICE STACK | MANAGER, BOARD OF MANAGERS | 4460452 |
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.
