James E. Tierney
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 Edmund Tierney, who also goes by James E Tierney, James Edmund Tierney Jr., James Tierney, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2011. James had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2020 - October 17, 2025
RAYMOND JAMES INVESTMENT MANAGEMENT
January 15, 2020 - October 17, 2025
CARILLON FUND DISTRIBUTORS, INC.
April 14, 2017 - May 2, 2019
QUESTAR ASSET MANAGEMENT, INC.
January 9, 2017 - May 2, 2019
QUESTAR CAPITAL CORPORATION
December 11, 2014 - September 12, 2016
PEOPLE'S SECURITIES, INC.
August 1, 2011 - September 12, 2016
PEOPLE'S SECURITIES, INC.
Primary Firm SEC Registration
RAYMOND JAMES INVESTMENT MANAGEMENT
CRD#: 174904 / SEC#: 801-100356
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
Current Firm
RAYMOND JAMES INVESTMENT MANAGEMENT
CRD#: 174904 / SEC#: 801-100356
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 16,378,977,378 |
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.
