James R. Cratty
Professional summary
James Ray Cratty, who also goes by Jim Cratty, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in Austin, Texas and FROST BROKERAGE SERVICES, INC. located in Austin, Texas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. James has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 1, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Ray Cratty's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 26, 2022 - Present
FROST INVESTMENT SERVICES
Office #1: 401 Congress Ave, Austin, TX 78701March 9, 2017 - Present
FROST BROKERAGE SERVICES, INC.
Office #1: 401 Congress Avenue, Austin, TX 78701March 9, 2017 - December 31, 2021
FROST INVESTMENT SERVICES
January 27, 2016 - March 2, 2017
CAPITAL ANALYSTS
January 25, 2016 - March 2, 2017
LINCOLN INVESTMENT
December 9, 2015 - March 2, 2017
LINCOLN INVESTMENT
February 2, 2009 - December 18, 2012
MATADOR HOLDINGS, LLC
April 28, 2003 - December 19, 2007
FROST BROKERAGE SERVICES, INC.
July 20, 2001 - April 22, 2002
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 19, 1997 - July 19, 2001
J.P. MORGAN SECURITIES OF TEXAS, INC.
November 25, 1987 - May 6, 1997
J.P. MORGAN SECURITIES OF TEXAS, INC.
April 16, 1984 - June 28, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 17, 1979 - June 11, 1984
CITISTREET EQUITIES LLC
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/10/2018)
(12/21/2017)
(10/24/2022)
(1/17/2025)
(6/12/2023)
(1/14/2025)
(1/19/2024)
(1/14/2025)
(6/20/2024)
(10/5/2025)
(3/7/2018)
(6/9/2023)
(3/19/2020)
(3/6/2018)
(3/10/2017)
(1/26/2022)
Exams
Series 1
Date: 7/13/1979
Registered Representative ExaminationFINRA
Current Firm
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
