James R. Castle
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Rutherford Castle JR, who also goes by J. R. Castle, James Rutherford Castle, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6, Series 10, Series 9, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2010 - December 31, 2016
INVESTMENT ADVISORY, LLC
July 2, 2009 - September 23, 2009
GIBRALTAR WEALTH MANAGEMENT, LLC
February 2, 2005 - May 16, 2008
JANNEY MONTGOMERY SCOTT LLC
January 17, 2002 - May 16, 2008
JANNEY MONTGOMERY SCOTT LLC
September 19, 1996 - January 23, 2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 16, 1994 - August 9, 1996
SIGNATOR INVESTORS, INC.
August 15, 1994 - July 11, 1996
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 28, 1991 - February 28, 1994
HUNTINGTON INVESTMENTS, INC.
December 23, 1986 - September 13, 1990
IVY DISTRIBUTORS, INC.
January 23, 1986 - November 7, 1986
RUTHERFORD, BROWN & CATHERWOOD, LLC
April 1, 1985 - January 20, 1986
DELAWARE DISTRIBUTORS, L.P.
December 21, 1983 - January 4, 1985
JANNEY MONTGOMERY SCOTT LLC
August 31, 1982 - October 21, 1983
AMA INVESTMENT ADVISERS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTMENT ADVISORY, LLC
CRD#: 151941 / SEC#:
Contact information
Red Flags
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