James Gary Diffley
Professional Summary
James Gary Diffley, who also goes by Gary James Diffley, is a registered financial advisor currently at CARTER, TERRY & COMPANY, INC. located in Atlanta, Georgia. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gary James Diffley
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
Contact Information
Main Address
3340 Peachtree Road Suite 1400 Suite 1400, Atlanta, GA 30326Mailing Address
3340 Peachtree Road Suite 1400, Atlanta, GA 30326Phone Number
(404) 364-2070Established
Georgia since 03/12/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
33SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
FINRA licenses (49 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
168AUM (Assets Under Management)
$103,973,773Disclosures
Regulatory Event
3Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ATTKISSON AND ASSOCIATES, INCORPORATED | WICKHAM FINANCIAL & INSURANCE SERVICES | FJB SECURITIES, INC. | CARTER, TERRY & COMPANY, INC. | ATTKISSON, CARTER AND ASSOCIATES, INCORPORATED | ATTKISSON, CARTER & COMPANY, INC. | ATTKISSON, CARTER & AKERS, INCORPORATED | ATTKISSON CARTER & COMPANY, INC.
State Registrations and Notice Filings
(4/7/2004)
(2/9/2026)
(4/7/2004)
(7/7/2004)
(1/27/2026)
(3/1/2019)
(1/19/2006)
(3/7/2023)
(3/12/2019)
(1/29/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1994SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Gary Diffley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Gary Diffley's CRS (Customer Relationship Summary).
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