James L. Groves

RALEIGH CAPITAL MANAGEMENT

CARY, NC 27511

Some features on this profile are disabled

CRD#: 1657245

Professional summary

James Lewis Groves SR, ChFC®, CLU®, who also goes by Jim Groves, is a registered financial advisor currently at RALEIGH CAPITAL MANAGEMENT INC. located in Cary, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Groves

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.

RALEIGH WEALTH SOLUTIONS, INC., A COMPANY OFFERING LIFE INSURANCE AND ANNUITIES. 117 Edinburgh South Drive, Suite 110, Cary, NC 27511; ADVISOR, COMPLETING AND PROCESSING INSURANCE APPLICATIONS. APPROX 2 HOURS EACH MONTH IN THIS POSITION PROCESSING APPLICATIONS AND RECOMMENDING INSURANCE PRODUCTS TO CLIENTS. ALL DURING SECURITIES TRADING HOURS. START DATE 8/2018.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lewis Groves SR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

September 6, 2018 - Present

RALEIGH CAPITAL MANAGEMENT INC.

Office #1: 117 Edinburgh South Drive Suite 110, Cary, NC 27511

RIA

CRD#: 149538

CARY, NC

Past

March 17, 2014 - December 20, 2017

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

SILER CITY, NC

Past

March 17, 2014 - December 20, 2017

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

SILER CITY, NC

Past

March 17, 1993 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

PLATTSBURGH, NY

Past

March 17, 1993 - March 18, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

PLATTSBURGH, NY

Past

May 12, 1987 - May 13, 1988

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Past

May 12, 1987 - May 17, 1988

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RALEIGH CAPITAL MANAGEMENT INC.

RALEIGH CAPITAL MANAGEMENT INC. | TRUWEALTH CAPITAL MANAGEMENT, INC. | RALEIGH CAPITAL MANAGEMENT, INC.

CRD#: 149538 / SEC#: 801-121781

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

North Carolina

Registered Investment Advisory firm - (8/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(9/6/2018)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/7/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/20/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/6/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RALEIGH CAPITAL MANAGEMENT INC.

RALEIGH CAPITAL MANAGEMENT INC. | TRUWEALTH CAPITAL MANAGEMENT, INC. | RALEIGH CAPITAL MANAGEMENT, INC.

CRD#: 149538 / SEC#: 801-121781

RIA

Registered Investment Advisory firm - (7/16/2021 Approved)

North Carolina

Registered Investment Advisory firm - (8/17/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2021 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

117 Edinburgh South Drive Suite 110, Cary, NC 27511

Mailing Address

Phone number

(919) 852-1215

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A MAY 2025 (5/14/2025)

Regulatory assets under management

Total Number of Accounts	1,628
AUM (Assets Under Management)	$ 320,626,592

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.

Similar Advisors

Daniel Conklin

HUNTER STREET INVESTMENT ADVISORS LLC

IAR

Apex, NC

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

Laird Hepburn

BSG ADVISERS

IAR

Apex, NC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James L. Groves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Lewis Groves SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

RALEIGH CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2014

Series 63

Date: 3/6/1993

SIE

Date: 12/20/2017

Series 7

Date: 1/16/2014

Series 6

Date: 3/6/1993

Current Firm

RALEIGH CAPITAL MANAGEMENT INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RALEIGH CAPITAL MANAGEMENT INC.

TRUST BUT VERIFY

Similar Advisors