Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ridley has been in the financial services industry since 1995. James is currently registered with Cambridge Investment Research Advisors, Inc. and is located in Sevierville, TN. Previously, James was registered with BB&T Investment Services, INC., AMSOUTH INVESTMENT SERVICES, INC., UVEST FINANCIAL SERVICES GROUP, INC., FIRST TENNESSEE BROKERAGE, INC., NATIONWIDE SECURITIES, INC., NYLIFE SECURITIES INC. and GUARDIAN INVESTOR SERVICES CORPORATION. James holds the Series 6, 7 and 63 licenses. James is also a Certified Financial Planner.
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.
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.
Solicitation fees from 3rd party money managers
1
2
TN
07/01/2014 - Present
Cambridge Investment Research Advisors, Inc. (SEVIERVILLE TN)
TN
11/14/2006 - 07/02/2014
BB&T INVESTMENT SERVICES, INC. (SEVIERVILLE TN)
TN
04/17/2006 - 10/31/2006
AMSOUTH INVESTMENT SERVICES, INC. (MT. CARMEL TN)
TN
11/04/2005 - 04/07/2006
UVEST FINANCIAL SERVICES GROUP, INC. (GREENVILLE TN)
TN
03/21/2003 - 08/30/2005
FIRST TENNESSEE BROKERAGE, INC. (MEMPHIS TN)
OH
07/10/2002 - 04/01/2003
NATIONWIDE SECURITIES, INC. (COLUMBUS OH)
NY
06/12/1995 - 07/10/2002
NYLIFE SECURITIES INC. (NEW YORK NY)
NY
09/12/1994 - 05/02/1995
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
BC
Issued 09/09/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/1996
Series 7 - General Securities Representative Examination
BC
Issued 09/09/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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