James Rawson is a registered investment advisor, based in Concord, CA, with 8 years of industry experience.
Location
1390 Willow Pass Rd Ste 900, Concord, CA, 94520
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
February 2024 - Present · 2 yrs 2 mos
Cetera Investment Advisers LLC
February 2024 - Present · 2 yrs 2 mos
Previous Registrations
Cetera Advisors LLCBroker
February 2023 - January 2024 · 11 mos
Cetera Advisors LLC
February 2023 - January 2024 · 11 mos
Morgan Stanley
July 2019 - May 2021 · 1 yr 10 mos
Morgan StanleyBroker
July 2019 - May 2021 · 1 yr 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2016 - July 2019 · 3 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2016 - July 2019 · 3 yrs 6 mos
State Registrations27 states
AZCACOCTDCGAHIIDKSMAMEMIMOMTNHNMNVNYOHORPASCTXUTVAWAWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.