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James Harold Tanner

Saratoga Research & Investment Management

Saratoga, CA

Seattle, WA

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Current Employers
Saratoga Research & Investment Management

14471 Big Basin Way, Suite E, Saratoga, CA 95070 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
WA RA APPROVED 2010-05-05
  • CA RA
    APPROVED
    Since 2025-01-01
  • WA RA
    APPROVED
    Since 2010-05-05

Branch Locations

14471 Big Basin Way, Suite E, Saratoga, CA 95070 • United States

10015 Lake City Way Ne, #409, Seattle, WA 98125 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Saratoga Research & Investment Management Saratoga CA 07/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-01-21
S63 Uniform Securities Agent State Law Examination 1995-05-12
  • S65 Uniform Investment Adviser Law Examination
    2010-01-21
  • S63 Uniform Securities Agent State Law Examination
    1995-05-12
Other Names
  • Jim Tanner
  • James Harold Tanner

View on SEC IAPD

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OSAIC WEALTH, INC.
BETTERWEALTH LLC
WHEELER FINANCIAL SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

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Eugene Mendoza
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Other Offices

TRANSAMERICA FINANCIAL ADVISORS, LLC · SARATOGA, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
OSAIC WEALTH, INC. · SAN JOSE, CA
BETTERWEALTH LLC · SAN JOSE, CA
WHEELER FINANCIAL SERVICES, LLC · SAN JOSE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Saratoga, CA

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