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James P Brandau

Investment Adviser Representative at WILLIAM BLAIR & COMPANY L.L.C.

Wayne, PACRD #4225196Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
10 yrs
States Registered
17 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 17 states
ArizonaConnecticutFloridaIllinoisIndianaKansasMassachusettsMichiganNew HampshireNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaTennesseeVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 11/11/2022
Series 7
General Securities Representative Examination
Passed 3/6/2023
SIE
Securities Industry Essentials Examination
Passed 10/13/2022
Series 31
Futures Managed Funds Examination
Passed 9/23/2010
Series 7
General Securities Representative Examination
Passed 7/5/2005

Approximate fees

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

Primary fee model
Assets Under Management (AUM)
Source

William Blair & Company L.L.C. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

WILLIAM BLAIR & COMPANY L.L.C.Current
3/7/2023Wayne, PA
WILLIAM BLAIRCurrent
3/6/2023Wayne, PA
MORGAN STANLEY
8/10/20108/27/2014West Conshohocken, PA
CREDIT SUISSE SECURITIES (USA) LLC
7/30/20099/3/2009West Conshohocken, PA
MORGAN STANLEY & CO., INCORPORATED
3/29/200612/31/2007West Conshohocken, PA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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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 P Brandau 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.

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