James Farrar is a registered investment advisor, based in Chicago, IL, with 23 years of industry experience.
Location
333 W. Wacker Drive, Chicago, IL, 60606
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
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James owns Huck Finn Properties LLC, a rental property business, since 2007. He reviews the income statement and balance sheet monthly but has a management company handle day-to-day operations.
Employment History
Current Registrations
Nuveen Securities, LLCBroker
April 2016 - Present · 10 yrs 1 mo
Nuveen Asset Management, LLC
April 2016 - Present · 10 yrs 1 mo
Previous Registrations
RBC Capital Markets, LLCBroker
September 2005 - March 2016 · 10 yrs 6 mos
RBC Capital Markets, LLC
September 2005 - March 2016 · 10 yrs 6 mos
RBC Centura Securities INC.
December 2001 - October 2003 · 1 yr 10 mos
RBC Centura Securities, INC.Broker
May 2001 - October 2003 · 2 yrs 5 mos
First Union Securities, INC.Broker
February 2001 - May 2001 · 3 mos
State Registrations9 states
CAILKSMAMONYOHTNVA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.