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James Ralph Neff

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Other Names: Jim Ralph Neff
Type: SEC and FINRA Registered

James Neff is a financial professional at Raymond James & Associates, Inc., a broker-dealer with over 5,700 registered representatives nationwide. James has held an industry securities registration for 30 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Raymond James & Associates 9 years, 8 months Apr 2006 - Present
Dean Witter Reynolds Inc. 11 years, 6 months Oct 1994 - Apr 2006
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 Articles

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Top Answers

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Top Articles

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Firm Client Types

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

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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

Types of Compensation Arrangements

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