James R. Blackwell
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 Ray Blackwell, who also goes by James Blackwell, Jim Blackwell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2005. James had worked at 7 firms and has passed the Series 66 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
September 20, 2011 - January 30, 2014
THE RETIREMENT GROUP, LLC
September 2, 2011 - October 24, 2012
FSC SECURITIES CORPORATION
July 11, 2011 - July 21, 2011
PURSHE KAPLAN STERLING INVESTMENTS
October 27, 2010 - December 31, 2011
PRESTIGE CAPITAL ADVISORS, LLC
June 2, 2010 - September 24, 2010
SILVER OAK SECURITIES, INCORPORATED
May 28, 2010 - September 24, 2010
SILVER OAK SECURITIES, INCORPORATED
March 18, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2005 - March 26, 2008
UBS FINANCIAL SERVICES INC.
March 30, 2005 - March 26, 2008
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE RETIREMENT GROUP, LLC
CRD#: 148296 / SEC#: 801-69578
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,773 |
| AUM (Assets Under Management) | $ 544,452,358 |
Red Flags
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