James Ven is a registered investment advisor at RBC Capital Markets, LLC, based in Delafield, WI, with 34 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
525 Main Street, Suite 410, Delafield, WI, 53018
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James is the passive owner of Frank May LLC, a family LLC holding a rental home, and spends minimal time paying rent for his sister's apartment. He is also a director for the Sussex Area Service Club, dedicating minimal time to overseeing fundraising activities and fund disbursement.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Robert W. Baird & CO. Incorporated
Robert W. Baird & CO. IncorporatedBroker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Morgan Stanley & CO., Incorporated
Morgan Stanley & CO., IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations4 states
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