James W. Ragsdale
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 Wayne Ragsdale, who also goes by Jim Ragsdale, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2012 - January 5, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 5, 2015
J.P. MORGAN SECURITIES LLC
February 21, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
February 16, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 23, 2009 - February 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - February 2, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 29, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 26, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 24, 2004 - October 1, 2008
MORGAN KEEGAN & COMPANY, LLC
March 22, 2004 - October 1, 2008
MORGAN KEEGAN & COMPANY, LLC
August 15, 2003 - March 25, 2004
QUICK & REILLY, INC.
February 27, 2003 - March 25, 2004
QUICK & REILLY, INC.
September 15, 2000 - October 16, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 1997 - August 23, 2000
UBS FINANCIAL SERVICES INC.
December 2, 1986 - June 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 6, 1985 - June 19, 1986
LEHMAN BROTHERS INC.
January 19, 1983 - August 9, 1985
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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 15
Date: 9/7/1990
Foreign Currency Options ExaminationSeries 8
Date: 3/24/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
