James R. Nunn
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 Robert Nunn was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1975. James had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 5, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2006 - June 14, 2011
RIDGEWAY CONGER ADVISORY SERVICES
September 7, 2005 - November 18, 2011
RIDGEWAY & CONGER, INC.
December 7, 2000 - August 29, 2005
KAISER AND COMPANY
February 14, 1984 - October 7, 2000
UBS FINANCIAL SERVICES INC.
February 24, 1978 - September 8, 1983
MORGAN STANLEY DW INC.
May 5, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
October 23, 1975 - June 18, 1976
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 5
Date: 11/16/1981
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamCurrent Firm
RIDGEWAY CONGER ADVISORY SERVICES
CRD#: 139372 / SEC#: 801-66272
Contact information
Documents
Red Flags
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