James Edward Rutherford

Investment Adviser Representative at QUARTZ PARTNERS INVESTMENT MANAGEMENT

SARATOGA SPRINGS, NYCRD #2053702Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

36 yrs

States Registered

5 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 5 states

CaliforniaConnecticutFloridaGeorgiaNew York

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 3/12/2014

Series 63

Uniform Securities Agent State Law Examination

Passed 10/24/1990

Series 24

General Securities Principal Examination

Passed 11/5/1993

Series 4

Registered Options Principal Examination

Passed 9/23/1992

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 10/20/1990

Series 22

Direct Participation Programs Representative Examination

Passed 5/11/1990

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Asset tier	Annual rate
Active Strategies - $0 to $499,999.99	0.75%
Active Strategies - $500,000 to $2,999,999.99	0.60%
Active Strategies - $3,000,000 and above	0.50%
Passive Strategies - $0 to $499,999.99	0.48%
Passive Strategies - $500,000 to $2,999,999.99	0.40%
Passive Strategies - $3,000,000 and above	0.35%

Account minimum: $10,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

QUARTZ PARTNERS INVESTMENT MANAGEMENT Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

ETICO PARTNERS, LLCCurrent

1/29/2018 – Saratoga Springs, NY

SUMMIT BROKERAGE SERVICES, INC.

9/17/2015 – 4/11/2016Averill Park, NY

FIRST UNION SECURITIES FINANCIAL NETWORK, INC.

6/26/2001 – 12/11/2001ST. LOUIS, MO

STEVEN L. FALK & ASSOCIATES INC.

5/15/1990 – 10/24/1990LAS VEGAS, NV

DINOSAUR FINANCIAL GROUP, L.L.C

4/4/2016 – 11/29/2017CLIFTON PARK, NY

BENCHMARK INVESTMENTS, INC.

3/6/2020 – 5/1/2020NEW YORK, NY

MCGINN, SMITH & CO., INC.

2/28/2005 – 12/31/2009CLIFTON PARK, NY

J.P. TURNER & COMPANY, L.L.C.

12/6/2001 – 2/25/2005ATLANTA, GA

DINOSAUR SECURITIES, L.L.C.

12/24/2009 – 1/20/2010NEW YORK, NY

AUERBACH, POLLAK & RICHARDSON INC.

12/19/2000 – 12/14/2001STAMFORD, CT

VTR CAPITAL, INC.

11/14/1990 – 1/23/1995NEW YORK, NY

AMERICAN FRONTEER FINANCIAL CORPORATION

1/31/1995 – 12/19/2000DENVER, CO

J.P. TURNER & COMPANY, L.L.C.

1/21/2010 – 9/29/2015RENSSELAER, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Edward Rutherford has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.