Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Charles Pingeton is a financial advisor with Raymond James & Associates, Inc. located in St. Petersburg, FL. James has been in the industry since 1982, holding multiple licenses and certifications. James has been with Raymond James & Associates, Inc. since 2017, previously working with Stifel, Nicolaus & Company, Incorporated, Keefe, Bruyette & Woods, Inc. and Banc One Capital Markets, Inc.. James is a dedicated financial advisor with a long history of providing financial guidance and investment strategies to clients.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
06/20/2017 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
MA
08/09/2012 - 06/01/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BOSTON MA)
MA
04/03/2006 - 08/08/2012
RAYMOND JAMES & ASSOCIATES, INC. (BOSTON MA)
MA
07/12/2004 - 01/04/2006
KEEFE, BRUYETTE & WOODS, INC. (BOSTON MA)
IL
07/11/2001 - 07/14/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
NY
08/02/1990 - 07/10/2001
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NY
08/02/1990 - 12/14/1990
CM&M FUTURES INC. (NEW YORK NY)
NA
04/26/1988 - 07/03/1990
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
NA
07/22/1982 - 10/31/1988
WESTPAC POLLOCK & CO. INC.
BC
Issued 05/16/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/22/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/15/1991
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/1991
Series 3 - National Commodity Futures Examination
BC
Issued 07/17/1982
Series 7 - General Securities Representative Examination
BC
Issued 10/10/1978
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure James Pingeton is the right advisor for you? Invested Better is here to help.
