James A. Ritchie
Professional summary
James Anthony Ritchie, who also goes by James A. Ritchie, Jimmy Ritchie, is a registered financial professional currently at CARTY, HARDING & HEARN, INC. located in Little Rock, Arkansas.
James is registered as a RR (Registered Representative) and started their career in finance in 2010. James has worked at 2 firms and has passed the Series 66, Series 63, Series 52TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Anthony Ritchie's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 9, 2023 - Present
CARTY, HARDING & HEARN, INC.
Office #1: 900 S. Shackleford Rd Suite 100, Little Rock, AR 72211March 27, 2015 - January 17, 2023
BOK FINANCIAL SECURITIES, INC.
February 19, 2010 - January 17, 2023
BOK FINANCIAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
Red Flags
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Company Information
CARTY, HARDING & HEARN, INC.
CRD#: 7001Little Rock, AR 72211TRUST BUT VERIFY
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