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JAMES J RATCHFORD
JAMES JOSEPH RATCHFORD III, JIM RATCHFORD III
CRD#: 3024519
IA
B
WELLS FARGO ADVISORSCRD#: 19616 6000 FAIRVIEW RD STE 800
CHARLOTTE, NC 28210
CHARLOTTE, NC 28210
0
Disclosures
27
Years of Experience
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State Registrations
B
Alabama 1/31/2023
B
Missouri 6/19/2008
B
Arizona 9/11/2018
B
Nevada 1/13/2022
B
California 1/9/2003
B
New Jersey 10/1/2018
B
Colorado 11/15/2005
B
New York 1/22/2022
B
Connecticut 1/13/2022
B
North Carolina 6/15/2002
B
Florida 6/24/2002
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North Carolina 7/30/2004
B
Georgia 6/15/2002
B
Ohio 2/1/2023
B
Idaho 5/8/2017
B
Pennsylvania 7/8/2002
B
Illinois 7/7/2016
B
South Carolina 6/15/2002
B
Indiana 8/21/2024
B
Tennessee 1/27/2021
B
Maryland 1/25/2010
B
Texas 12/2/2009
B
Massachusetts 7/6/2020
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Texas 12/11/2009
B
Michigan 7/27/2022
B
Virginia 6/15/2002
B
Minnesota 3/4/2020
B
Washington 7/27/2017
B
Mississippi 1/31/2023
B
West Virginia 1/31/2023
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 7/30/2004
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Registered with this firm since 6/15/2002
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/05/1999 - 06/15/2002 | CHARLOTTE, NC | |
B | 04/06/1998 - 01/14/1999 | BOSTON, MA |
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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.
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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.