James R. Ash
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 Ralph Ash, who also goes by Ralph James Ash, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2018 - December 31, 2019
NICOL ADVISORS CORPORATION
June 19, 2018 - December 31, 2019
NICOL INVESTORS CORPORATION
September 26, 2016 - October 3, 2024
A. H. WILLIAMS & COMPANY, INC.
July 30, 2013 - July 26, 2016
WRIGHT INVESTORS SERVICE INC
July 19, 2013 - September 21, 2016
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
October 24, 2011 - June 13, 2013
PATRICK CAPITAL MARKETS, LLC
August 7, 2008 - December 31, 2010
QUASAR DISTRIBUTORS, LLC
April 21, 2005 - July 21, 2008
BOFA ADVISORS, LLC
February 5, 2001 - July 21, 2008
BOFA DISTRIBUTORS, INC.
July 24, 2000 - March 19, 2001
SOVEREIGN-AMERICAN SECURITIES, INC.
July 29, 1997 - August 25, 1998
SPECTRUM SECURITIES, INC.
April 28, 1995 - September 29, 1995
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 23, 1987 - April 25, 1995
ASTRA FUND DISTRIBUTORS CORP.
March 15, 1982 - November 4, 1987
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 3, 1979 - March 10, 1982
BUTCHER & SINGER INC.
July 12, 1978 - September 17, 1979
LEHMAN BROTHERS INC.
July 22, 1976 - August 5, 1978
MOORE, LEONARD & LYNCH, INCORPORATED
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: 12/12/1981
Interest Rate Options ExaminationCurrent Firm
NICOL ADVISORS CORPORATION
CRD#: 137206 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 89 |
| AUM (Assets Under Management) | $ 81,236,486 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
