James P. Ripley
Professional summary
James Patrick Ripley, CFP®, who also goes by Jim Ripley, is a registered financial advisor currently at RAI WEALTH MANAGEMENT located in Placentia, California and GREGORY ADVISORS INC. located in Placentia, California.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. James has worked at 6 firms and has passed the Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Patrick Ripley's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1991
Experience
October 15, 2015 - Present
RAI WEALTH MANAGEMENT
Office #1: 151 N. Kraemer Blvd. Suite 105, Placentia, CA 92870October 30, 2020 - Present
GREGORY ADVISORS INC.
Office #1: 151 N. Kraemer Blvd. Suite 105, Placentia, CA 92870July 2, 1992 - November 26, 2015
RICHEY ADVISORS, INC.
February 27, 1990 - March 30, 2012
RICHEY FINANCIAL GROUP, INC.
February 17, 1989 - December 10, 1990
JRL CAPITAL CORPORATION
November 25, 1987 - June 20, 1989
JOHN HANCOCK DISTRIBUTORS LLC
Primary Firm SEC Registration
RAI WEALTH MANAGEMENT
CRD#: 277137 / SEC#: 801-131970
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/15/2015)
(2/13/2020)
Exams
Current Firm
RAI WEALTH MANAGEMENT
CRD#: 277137 / SEC#: 801-131970
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 493 |
| AUM (Assets Under Management) | $ 135,905,953 |
Red Flags
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