James W. Rau
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 Walter Rau was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2002 - December 17, 2004
MUTUAL SERVICE CORPORATION
October 9, 2001 - February 8, 2002
SECURIAN FINANCIAL SERVICES, INC.
November 12, 1997 - September 28, 2001
CENTENNIAL FINANCIAL SERVICES, INC.
October 1, 1997 - November 14, 1997
OSAIC FS, INC.
August 12, 1996 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
December 23, 1987 - July 19, 1996
CENTENNIAL FINANCIAL SERVICES, INC.
June 1, 1977 - December 15, 1987
JOHN HANCOCK DISTRIBUTORS LLC
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
Series 1
Date: 5/20/1977
Registered Representative ExaminationCurrent Firm
MUTUAL SERVICE CORPORATION
CRD#: 4806 / SEC#: , 8-15313
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP LLC | PARENT COMPANY | |
| BROWN, STEPHANIE LEIGH | DIRECTOR/SECRETARY | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER/CHAIRMAN/DIRECTOR | 1821773 |
| MITCHELL, CHRISTOPHER MILLS | CFO/FINOP | 2420144 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 17 |
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.
