James Field Rudwall

Current Employers

Rudwall Wealth Management Llc

Mundelein, IL • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2017-01-25

IL RA
APPROVED

Since 2017-01-25

Branch Locations

Mundelein, IL • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination Yes

Employment History

Organization	City	State	From	To
Insight Securities, Inc.	Highland Park	IL	07/2016	11/2016
Rudwall Wealth Management, Llc	Libertyville	IL	11/2016	Present

07/2016 → 11/2016

Insight Securities, Inc.

Highland Park, IL
11/2016 → Present

Rudwall Wealth Management, Llc

Libertyville, IL

Previous Registrations

2016-07-11 → 2016-11-23

Insight Securities, Inc.

Highland Park, IL
2016-03-22 → 2016-04-26

Morgan Stanley

Chicago, IL
2008-11-13 → 2016-04-07

Ubs Financial Services Inc.

Chicago, IL

Chicago, IL
1992-05-04 → 2008-11-15

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chicago, IL

Chicago, IL

Other Businesses

Kappa Beta Phi A fraternal society used primarily for social and honorific purposes for financial personnel.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-08-15
S63	Uniform Securities Agent State Law Examination	1982-10-21

S65 Uniform Investment Adviser Law Examination

1994-08-15
S63 Uniform Securities Agent State Law Examination

1982-10-21

Other Names

James Field Rudwall
James F Rudwall

View on SEC IAPD