James A. Riggs
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 Arthur Riggs, who also goes by Jim Riggs, Jimmy Riggs, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 13 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2022 - January 2, 2025
REALTA EQUITIES, INC.
December 11, 2019 - August 3, 2020
WEILD & CO.
May 11, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
April 27, 2016 - December 31, 2017
MOLONEY SECURITIES ASSET MANAGEMENT LLC
March 11, 2014 - April 27, 2016
MOLONEY SECURITIES CO., INC.
June 14, 2012 - December 31, 2017
MOLONEY SECURITIES CO., INC.
May 18, 2012 - March 11, 2014
GORDON ASSET MANAGEMENT, LLC
January 10, 2011 - May 24, 2012
MORSE CAPITAL PARTNERS, LLC
June 21, 2010 - December 31, 2010
MORSE CAPITAL PARTNERS, LLC
August 29, 1996 - April 2, 2009
STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS
October 24, 1990 - December 31, 1997
GROVE POINT INVESTMENTS, LLC
April 21, 1986 - October 29, 1990
FSC SECURITIES CORPORATION
May 14, 1985 - April 9, 1986
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 17, 1982 - April 18, 1985
LINCOLN INVESTMENT
January 27, 1982 - November 19, 1982
EQUITY SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
