James C. Riggio
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 C Riggio was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 4 firms and has passed the Series 63, Series 65 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
May 2, 2012 - December 17, 2014
SIGNET FINANCIAL MANAGEMENT, LLC
March 17, 2009 - April 22, 2015
HIGHLAND FINANCIAL GROUP, LLC
August 16, 2006 - December 23, 2008
BELLEVUE CHICAGO, LLC
May 10, 2005 - July 13, 2006
COASTAL CAPITAL MANAGEMENT, LLC
Primary Firm SEC Registration
SIGNET FINANCIAL MANAGEMENT, LLC
CRD#: 105310 / SEC#: 801-31294
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
SIGNET FINANCIAL MANAGEMENT, LLC
CRD#: 105310 / SEC#: 801-31294
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,907 |
| AUM (Assets Under Management) | $ 1,058,245,741 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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