JD
James I. Dalrymple
RAYMOND JAMES (USA) LTD.
Toronto, Ontario, M2H 3P7
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CRD#: 5780880
JD
Professional summary
James Ian Dalrymple is a registered financial advisor currently at RAYMOND JAMES (USA) LTD. .
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. James has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH CIRO, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. JAMES DALRYMPLE IS LOCATED AT SUITE 205, 3650 VICTORIA PARK AVENUE, TORONTO, ONTARIO CANADA M2H 3P7 AND HAS BEEN EMPLOYED SINCE DECEMBER 31, 2008. HE IS A FULL TIME AGENT AND HIS TITLE WITH RJL IS "SENIOR FINANCIAL ADVISOR AND PORTFOLIO MANAGER". HE DEVOTES 171 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HIS JOB DUTIES INCLUDE SALES AND PORTFOLIO MANAGEMENT SERVICES. (2) DALRYMPLE WEALTH COUNSEL GROUP, INC. - TORONTO, ONTARIO, CANADA. OWNER OF SUPPORT COMPANY. STARTED 12/21/2011 TO PRESENT. 44 HOURS WEEKLY, 44 DURING TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view James Ian Dalrymple's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Ian Dalrymple'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®
NoneExperience
Current
March 1, 2012 - Present
RAYMOND JAMES (USA) LTD.
Office #1: Suite 205 - 3650 Victoria Park Avenue, Toronto, Ontario, M2H 3P7RIA
BD
CRD#: 25853
Toronto, Ontario,
Current
February 17, 2012 - Present
RAYMOND JAMES (USA) LTD.
Office #1: Suite 205 - 3650 Victoria Park Avenue, Toronto, Ontario, M2H 3P7RIA
BD
CRD#: 25853
Toronto, Ontario,
Past
January 11, 2012 - February 17, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
TORONTO,
Past
May 19, 2010 - February 17, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
TORONTO,
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".
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/17/2012)
RR
Colorado(2/17/2012)
RR
Florida(2/17/2012)
RR
New Mexico(6/4/2018)
RR
New York(3/1/2012)
RR
Texas(2/17/2012)
IAR
Texas(3/1/2012)
RR
Washington(9/17/2019)
RR
Wisconsin(2/17/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RJ
RAYMOND JAMES (USA) LTD.
GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.
CRD#: 25853 / SEC#: 801-72137, 8-42071
RIA
Registered Investment Advisory firm - SEC (2/10/2011 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
925 West Georgia Street - 2100, Vancouver, V6C3L2
Mailing Address
925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2
Phone number
(604) 659-8200
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees
175
SEC notice filing (31 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES LTD. | OWNER | |
| AYYUB, HARRIS | SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING) | 7789868 |
| BALEZENTIS, PATRICIA | DIRECTOR | 2262711 |
| BARKO, SHAWN JOSEPH | DIRECTOR | 2690394 |
| BOYLE, SEAN PATRICK | DIRECTOR | 5517025 |
| LIM, CHRISTOPHER JOHN | CHIEF FINANCIAL OFFICER | 6090679 |
| MARCUS, STEVEN ROBERT | DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2820004 |
| SERBANOS, EFSTRATIOS MICHAEL | GENERAL COUNSEL | 2267667 |
Regulatory assets under management
| Total Number of Accounts | 4,869 |
| AUM (Assets Under Management) | $ 1,991,381,912 |
Disclosures
| Regulatory Event | 1 |
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.
