James C. Treat
Professional summary
James Christopher Treat, who also goes by Chris Treat, is a registered financial advisor currently at WRIGHT INVESTORS SERVICE INC located in Batesville, Arkansas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. James has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Christopher Treat's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2025 - Present
WRIGHT INVESTORS SERVICE INC
November 29, 2017 - April 16, 2018
LPL FINANCIAL LLC
July 27, 2016 - November 29, 2017
INVESTMENT CENTERS OF AMERICA, INC.
February 8, 2010 - November 10, 2011
SWBC INVESTMENT COMPANY
February 4, 2010 - November 10, 2011
SWBC INVESTMENT SERVICES, LLC
June 29, 2005 - March 3, 2008
WADDELL & REED
October 4, 2004 - March 3, 2008
WADDELL & REED
Primary Firm SEC Registration
WRIGHT INVESTORS SERVICE INC
CRD#: 106302 / SEC#: 801-51257
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/14/2025)
Exams
Current Firm
WRIGHT INVESTORS SERVICE INC
CRD#: 106302 / SEC#: 801-51257
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,286 |
| AUM (Assets Under Management) | $ 1,237,999,777 |
Red Flags
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