Individual Firm
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JAMES WILLIAM RAY
CRD#: 1854247
IA
B
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
3
Firms
0
Licenses
View By:
7/9/2019
Customer Dispute
Award / Judgment
10/22/2013
Customer Dispute
Denied
3/30/2010
Customer Dispute
Settled
9/7/2004
Customer Dispute
Closed-No Action
11/5/2002
Customer Dispute
Denied
8/25/2000
Customer Dispute
Denied
12/12/1986
Criminal
Final Disposition
The broker is not currently registered with any state or SRO.
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2020 - 05/25/2021 | JACKSONVILLE, FL | |
IA | 04/24/2009 - 11/18/2019 | JACKSONVILLE, FL | |
IA | 07/31/1993 - 05/08/2009 | JACKSONVILLE, FL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.