James C. Richie
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 Chance Richie, who also goes by Chance Richie, James Chance Ritchie, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2006. James had worked at 4 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE, Series 7 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
March 2, 2022 - November 14, 2022
POPPLETON FINANCIAL, LLC
August 23, 2021 - May 5, 2022
THE ENTERPRISE SECURITIES COMPANY
March 3, 2008 - March 30, 2009
COMMERCE SECURITIES CORPORATION
August 8, 2006 - October 18, 2006
APS FINANCIAL CORPORATION
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
Series 79TO
Date: 8/17/2021
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 7/27/2021
General Securities Representative ExaminationCurrent Firm
POPPLETON FINANCIAL, LLC
CRD#: 314964 / SEC#: , 8-70741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POPPLETON PARTNERS, LLC | SOLE MEMBER | |
| RICHIE, JAMES CHANCE | MANAGER, CCO, EXECUTIVE REP. | |
| VOOS, VIRGINIA LAWRENCE | FINOP | 4576740 |
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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