JR
James D. Ratliff
RIA ADVISORS
Houston, TX 77079
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CRD#: 4934772
JR
Professional summary
James Daniel Ratliff, CFP®, ChFC®, who also goes by Danny Ratliss, is a registered financial advisor currently at RIA ADVISORS located in Houston, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. James has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Danny Ratliss
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
the name of the other business: Alora Consulting; whether the business is investment-related: No; the address of the other business: 11750 Katy Frwy, Ste 840 Houston, TX 77079; the nature of the other business: Insurance Agency; your position: Insurance Agent; title, or relationship with the other business: Insurance Agent; the start date of your relationship: January 1, 2020; the approximate number of hours/month you devote to the other business: 5; the number of hours you devote to the other business during securities trading hours: 0; and briefly describe your duties relating to the other business: insurance sales. Danny Ratliff is a partner and financial Advisor with RIA Wealth Advisors LLC which is a wealth management company. His responsibilities include providing financial advice. 35 hours a month are spent on this activity during trading hours. 10 hours a month are spent on this activity outside of trading hours. 20% of his yearly income is derived from this activity.
CRS (Client Relationship Summary) - RIA
Click below to view James Daniel Ratliff's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2013
Experience
Current
July 11, 2017 - Present
RIA ADVISORS
Office #1: 11750 Katy Freeway Suite 840, Houston, TX 77079RIA
CRD#: 150661
Houston, TX
Past
February 22, 2021 - September 22, 2023
RIA WEALTH ADVISORS, LLC
RIA
CRD#: 312072
ROUND ROCK, TX
Past
October 1, 2012 - June 22, 2017
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
CONROE, TX
Past
October 1, 2012 - June 22, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
CONROE, TX
Past
August 17, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CONROE, TX
Past
August 17, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CONROE, TX
Past
April 13, 2006 - August 20, 2007
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
HOUSTON, TX
Past
December 7, 2005 - August 20, 2007
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RA
RIA ADVISORS
ADVANCED WEALTH STRATEGIES GROUP | SIMPLEVISOR | RIA ADVISORS | NTBD ADVISORS, LLC | CLARITY FINANCIAL, LLC | ANIMAS CAPITAL
CRD#: 150661 / SEC#: 801-77832
RIA
Registered Investment Advisory firm - (4/16/2013 Approved)Arizona
Registered Investment Advisory firm - (4/23/2013 Terminated)Louisiana
Registered Investment Advisory firm - (4/25/2013 Terminated)Oklahoma
Registered Investment Advisory firm - (4/23/2013 Terminated)Texas
Registered Investment Advisory firm - (4/23/2013 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Texas(7/11/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
RIA ADVISORS
ADVANCED WEALTH STRATEGIES GROUP | SIMPLEVISOR | RIA ADVISORS | NTBD ADVISORS, LLC | CLARITY FINANCIAL, LLC | ANIMAS CAPITAL
CRD#: 150661 / SEC#: 801-77832
RIA
Registered Investment Advisory firm - (4/16/2013 Approved)Arizona
Registered Investment Advisory firm - (4/23/2013 Terminated)Louisiana
Registered Investment Advisory firm - (4/25/2013 Terminated)Oklahoma
Registered Investment Advisory firm - (4/23/2013 Terminated)Texas
Registered Investment Advisory firm - (4/23/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11750 Katy Freeway Suite 840, Houston, TX 77079
Mailing Address
Phone number
(281) 501-1791
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,581 |
| AUM (Assets Under Management) | $ 1,530,453,633 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
