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JAMES HEATH RAPER
James Heath Raper
CRD#: 4817494
IA
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NEWEDGE ADVISORSCRD#: 171351 5400 Poplar Avenue
Suite 210
Memphis, TN 38119
Suite 210
Memphis, TN 38119
LPL FINANCIAL LLCCRD#: 6413 5400 POPLAR AVENUE SUITE 210
MEMPHIS, TN 38117
MEMPHIS, TN 38117
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Disclosures
20
Years of Experience
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State Registrations
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Florida 11/25/2022
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Missouri 10/19/2022
B
Illinois 8/14/2023
B
Tennessee 9/23/2022
B
Mississippi 9/23/2022
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Tennessee 9/23/2022
SRO Registrations
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Registered with this firm since 9/23/2022
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Registered with this firm since 9/23/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/18/2013 - 10/06/2022 | MEMPHIS, TN | |
B | 11/18/2013 - 10/06/2022 | MEMPHIS, TN | |
IA | 02/28/2006 - 11/22/2013 | BARTLETT, TN | |
B | 02/28/2006 - 11/22/2013 | BARTLETT, TN | |
B | 04/25/2005 - 09/30/2005 | BIRMINGHAM, AL | |
IA | 07/29/2004 - 03/16/2005 | GERMANTOWN, TN | |
B | 07/21/2004 - 03/16/2005 | ST. PAUL, MN |
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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.