James Riggins
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 Riggins, who also goes by Clay Riggins, James Clayton Riggins Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2020 - September 22, 2020
EMPOWER FINANCIAL SERVICES, INC.
May 6, 2020 - July 8, 2020
TD AMERITRADE, INC.
October 13, 2008 - March 18, 2020
EMPOWER FINANCIAL SERVICES, INC.
January 23, 2008 - April 21, 2008
RAA WEALTH MANAGEMENT, LLC
October 10, 2006 - January 23, 2008
HARRISDIRECT LLC
March 15, 2005 - January 23, 2008
E*TRADE SECURITIES LLC
September 10, 2003 - January 10, 2005
COUNTRYWIDE INVESTMENT SERVICES, INC.
September 7, 2001 - June 23, 2003
E*TRADE ADVISORY SERVICES, INC.
September 7, 2001 - June 11, 2003
E*TRADE SECURITIES LLC
January 3, 2001 - April 3, 2001
MYDISCOUNTBROKER.COM
December 22, 2000 - August 31, 2001
HILLTOP SECURITIES INC.
February 19, 1999 - December 31, 2000
MYDISCOUNTBROKER.COM
October 2, 1998 - December 31, 1998
MUTUALS.COM, INC.
December 7, 1995 - September 23, 1997
FIDELITY BROKERAGE SERVICES LLC
December 10, 1993 - October 24, 1994
AMERIPRISE ADVISOR SERVICES, INC.
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
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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