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Jim Raper
Chief Compliance Officer, WealthForge
Jim Raper is the Chief Compliance Officer at WealthForge Securities, a position he has held since joining the firm in 2014.14 With over 30 years of experience in the financial services industry, Raper has developed a deep understanding of the operational and financial aspects of successful companies.4
Professional Background
Raper's expertise lies in navigating the complex regulatory environment of the securities industry. He uses his knowledge to guide both WealthForge and their clients through the intricacies of raising capital.4 His qualifications include holding multiple securities licenses, specifically Series 7, 24, 27, 63, 79, and 99.4
Current Role and Responsibilities
As the Chief Compliance Officer, Raper plays a crucial role in ensuring WealthForge's adherence to regulatory requirements. He is part of the leadership team that oversees the firm's operations and compliance matters.4
Recent Developments
It's worth noting that Raper has been involved in some recent investor disputes. According to his FINRA BrokerCheck report, as of June 28, 2023, there were seven pending investor disputes related to alleged due diligence failures, negligence, and other issues concerning private placement investments.1 These disputes collectively seek damages of over $10 million.
Online Presence
Raper maintains a professional presence on LinkedIn under the username "jimraper".23 He occasionally shares updates related to WealthForge and the financial industry through this platform.
