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James Ralph Neff

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Information

Other Names: Jim Ralph Neff
Firm:
Type: Dual Registration
Description

James Neff is a financial professional at Raymond James & Associates, Inc., a broker-dealer with over 5,400 registered representatives nationwide. James has held an industry securities registration for 30 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Raymond James & Associates 8 years, 5 months Apr 2006 - Present
Dean Witter Reynolds Inc. 11 years, 6 months Oct 1994 - Apr 2006
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 04/13/1998
Foreign Currency Options ExaminationSeries 15 04/11/1990
General Securities Sales Supervisor Examination (Options Module & GeneralModule)Series 8 11/07/1988
National Commodity Futures ExaminationSeries 3 01/09/1984
Uniform Securities Agent State Law ExaminationSeries 63 12/09/1983
General Securities Representative ExaminationSeries 7 11/19/1983

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

James Ralph Neff has not answered any questions on Financial Q&A.

Top Guides

James Ralph Neff has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
07/31/2014
08/15/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions