James T. Ruffin

ELEMENTAL CAPITAL MANAGEMENT

HENRICO, VA

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CRD#: 5390979

Professional summary

James Thomas Ruffin, who also goes by James T Ruffin, is a registered financial advisor currently at ELEMENTAL CAPITAL MANAGEMENT, LLC located in Henrico, Virginia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James T Ruffin

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Ruffin'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®

None

Experience

Current

February 7, 2018 - Present

ELEMENTAL CAPITAL MANAGEMENT, LLC

RIA

CRD#: 147218

HENRICO, VA

Past

October 1, 2010 - February 8, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

RICHMOND, VA

Past

October 1, 2010 - February 8, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

RICHMOND, VA

Past

July 14, 2008 - October 4, 2010

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

ROANOKE, VA

Past

July 14, 2008 - October 4, 2010

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ROANOKE, VA

Past

October 11, 2007 - April 28, 2008

EDWARD JONES

RIA

CRD#: 250

SUMMERVILLE, SC

Past

September 14, 2007 - April 28, 2008

EDWARD JONES

CRD#: 250

SUMMERVILLE, SC

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

Virginia
(2/8/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/27/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/13/2007

General Securities Representative Examination

Current Firm

ELEMENTAL CAPITAL MANAGEMENT, LLC

116 ADVISOR | ELEMENTAL CAPITAL MANAGEMENT, LLC

CRD#: 147218 / SEC#:

Texas

Registered Investment Advisory firm - (11/14/2018 Terminated)

Virginia

Registered Investment Advisory firm - (6/19/2008 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Henrico, VA

Mailing Address

Phone number

(804) 207-4460

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	74
AUM (Assets Under Management)	$ 44,714,371

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James T. Ruffin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Thomas Ruffin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELEMENTAL CAPITAL MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 9/27/2007

SIE

Date: 2/8/2018

Series 7

Date: 9/13/2007

Current Firm

ELEMENTAL CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ELEMENTAL CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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