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Jimmie D. Ross

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CRD#: 1030765
JR

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.

Jimmie Duane Ross was a registered financial professional .

Jimmie is a previously registered financial professional and started their career in finance in 1982. Jimmie had worked at 7 firms and has passed the Series 63, Series 3, Series 7 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 20, 2001 - December 31, 2003

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
CHARLOTTE, NC
Past

October 13, 2000 - March 12, 2001

SECURITIES SERVICE NETWORK, LLC

BD
CRD#: 13318
KNOXVILLE, TN
Past

December 14, 1999 - September 19, 2000

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

January 4, 1999 - December 16, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

December 5, 1994 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

November 5, 1993 - October 19, 1994

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

March 30, 1982 - August 24, 1993

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 12/20/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1982
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 6/18/1986
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

SI
SYNERGY INVESTMENT GROUP, LLC
A.D. VALLETT & CO. | WHITLEY FINANCIAL, LLC | W. RALEIGH SEXTON JR., INC. | TAX & RETIREMENT PLANNING | SYNERGY WEALTH MANAGEMENT | SYNERGY INVESTMENT GROUP, LLC | SYNERGY BUSINESS ADVISORS, LLC | SYNERGY ADVISORY GROUP | STRATEGIC INVESTMENT DESIGNS | SANDEFER MAYO, LLC | RETIREMENT BY DESIGN | PENN NORTH FINANCIAL SERVICES | OVERSON TAX ADVISORY, INC. | OVERSON ADVISORY GROUP | OLD TOWNE FINANCIAL MANAGEMENT, INC. | OKLAHOMA FINANCIAL GROUP | MCCULLEY & WILKINSON, INC. | LBS FINANCIAL SERVICES, LLC | JOHN M. BLUMBERG, CPA, PC | INA TAX ADVISORS, INC. | HULSEY FINANCIAL SERVICES | HANEY & ALEXANDER INVESTMENT MANAGEMENT | FOX & FIN AND LIPSKI SECURITIES | DON E. SMITH CO. | DEVON FINANCIAL GROUP, LTD | COMPASS WEALTH MANAGEMENT | CLOUT, INC. | CHARTER FINANCIAL GROUP | BUFFALO SHIELD FINANCIAL PLANNING | BRIDGEDAL CAPITAL MANAGEMENT | AVELLAR ADVISORS, INC. | ARRIBA INVESTMENT MANAGEMENT | ARRIBA INVESMENT & EXCHANGE CORPORATION | ADVANTAGE FINANCIAL SERVICES

CRD#: 46035 / SEC#: 801-68315, 8-51278

RIA
Registered Investment Advisory firm - SEC (11/28/2012 Terminated)
Arizona
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)
Colorado
Registered Investment Advisory firm - SEC (11/23/2012 Approved)
Connecticut
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/13/2007 Terminated)
Maryland
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (12/17/2007 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (7/1/2012 Approved)
Ohio
Registered Investment Advisory firm - SEC (12/31/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (7/13/2012 Approved)
Tennessee
Registered Investment Advisory firm - SEC (12/9/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Wyoming
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)
BD
Terminated by SEC on 05/05/2012
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Contact information

Main Address
708 Mclain Road, Kannapolis, NC 28083
Mailing Address
Phone number
(704) 295-6692
Established
North Carolina since 07/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
6

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SYNERGY HOLDING GROUPMEMBER
HAYES, JOSEPH PATRICKCHIEF COMPLIANCE OFFICER4289211
JONES, JEFFREY DEANPART OWNER4188324
VANHAMME, TRACY MFINOP5378592

Regulatory assets under management

Total Number of Accounts324
AUM (Assets Under Management)$ 53,106,235

Disclosures

Regulatory Event7
Arbitration2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

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