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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Windham Rorie is an investment advisor representative with B. Riley Wealth Advisors, Inc. in Memphis, Tennessee. James has over 20 years of experience in the financial services industry, and has held various roles at firms like Duncan-Williams, Inc., Cetera Investment Services LLC, and SunTrust Investment Services, Inc. James holds multiple licenses including Series 7, 24, 52, 53 and 66. James has a diverse client base, including individuals, high-net-worth individuals, corporations, and charitable organizations.
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.
A percentage of the total value of assets under management is charged.
1
2
TN
02/25/2022 - Present
B. Riley Wealth Advisors, Inc. (Memphis TN)
FL
02/24/2022 - 07/22/2022
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
TN
03/06/2018 - 11/06/2018
DUNCAN-WILLIAMS, INC. (MEMPHIS (SHELBY) TN)
TN
05/06/2015 - 09/27/2017
CETERA INVESTMENT SERVICES LLC (COLLIERVILLE TN)
TN
02/02/2012 - 04/28/2015
SUNTRUST INVESTMENT SERVICES, INC. (MEMPHIS TN)
TN
03/05/2004 - 02/02/2012
FIRST TENNESSEE BROKERAGE, INC. (MEMPHIS TN)
TN
05/05/2003 - 09/09/2003
CARTY & COMPANY, INC. (MEMPHIS TN)
MN
01/15/2003 - 04/29/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/15/2003 - 04/29/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 02/14/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/20/2006
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/17/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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