James F. Ricketts
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 Francis Ricketts JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 1989 - July 11, 1990
L.M. DREW & ASSOCIATES
May 24, 1989 - August 15, 1989
FIRM ONE SECURITIES, INCORPORATED
January 24, 1989 - May 25, 1989
U.S. ADVISORS, INC.
March 19, 1986 - April 25, 1986
WEAVER JOHNSON & COMPANY,INC.
March 19, 1986 - December 20, 1988
GRAYSTONE NASH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
L.M. DREW & ASSOCIATES
CRD#: 16368 / SEC#: , 8-33827
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
