Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anthony Ritchie is a financial advisor with over 13 years of experience in the industry. James currently works at Carty & Company, Inc. and is licensed to offer securities and investment advice in 22 states. Previously, James was employed by BOK FINANCIAL SECURITIES, INC. and was licensed in both the Broker-Dealer and Investment Advisor capacities. James has passed several industry exams including the Series 66, Series 63, Series 52TO, SIE, and Series 7.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
AR
01/09/2023 - Present
Carty & Company, Inc. (Little Rock AR)
AR
02/19/2010 - 01/17/2023
BOK FINANCIAL SECURITIES, INC. (Little Rock AR)
BOTH
Issued 09/20/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/26/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Ritchie is the right advisor for you? Invested Better is here to help.
