Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick Ritchie has been in the financial services industry since 2001 and is currently an advisor at Raymond James & Associates, Inc.. Prior to joining Raymond James & Associates, Inc., James was employed by Morgan Stanley. James is registered as a broker-dealer and investment advisor in 40 states and holds Series 7, 9, 10 and 66 licenses. James specializes in providing financial planning, portfolio management and educational seminars.
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
09/24/2021 - Present
Raymond James & Associates, Inc. (TAMPA FL)
FL
12/15/2017 - 06/03/2021
MORGAN STANLEY (Winter Haven FL)
PA
11/07/2014 - 08/11/2017
HARTFORD FUNDS DISTRIBUTORS, LLC (WAYNE PA)
MD
07/31/2014 - 11/05/2014
PROFUNDS DISTRIBUTORS, INC. (BETHESDA MD)
CA
12/01/2005 - 04/11/2014
LEGG MASON INVESTOR SERVICES, LLC (SAN MATEO CA)
NY
01/26/2001 - 12/01/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 03/19/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/04/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/06/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2001
Series 7 - General Securities 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 Ritchie is the right advisor for you? Invested Better is here to help.
