James D. Rorrer
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 Darwin Rorrer, who also goes by Jim Rorrer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2006 - June 10, 2014
CAPGROUP ADVISORS
February 18, 1994 - April 4, 2006
CAPITAL ADVISORY GROUP
February 17, 1989 - March 19, 1990
WACHOVIA BROKERAGE SERVICE
August 14, 1986 - February 6, 1989
BOWLES HOLLOWELL CONNER & CO.
July 21, 1983 - January 15, 1986
MORGAN STANLEY DW INC.
June 8, 1978 - July 21, 1983
ALEX. BROWN & SONS INCORPORATED
March 29, 1977 - June 8, 1978
SCOTT & STRINGFELLOW, LLC
March 25, 1976 - April 22, 1977
HAZLETT, BURT & WATSON, 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 40
Date: 10/11/1976
Registered Principal ExaminationCurrent Firm
CAPGROUP ADVISORS
CRD#: 139874 / SEC#: 801-66418
Contact information
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.
