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Other Names: Jim Ralph Neff
Type: Dual Registration

James Neff is a financial professional at Raymond James & Associates, Inc., a broker-dealer with over 5,350 registered representatives nationwide. James has held an industry securities registration for 29 years and is subject to SEC and FINRA oversight.

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Answers and Guides

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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.

Experience and Employment History

Employer Years Dates
Raymond James & Associates 8 years Apr 2006 - Present
Dean Witter Reynolds Inc. 11 years, 6 months Oct 1994 - Apr 2006
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/17/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 04/13/1998
Foreign Currency Options Examination Series 15 04/11/1990
General Securities Sales Supervisor Examination (Options Module & GeneralModule) Series 8 11/07/1988
National Commodity Futures Examination Series 3 01/09/1984
Uniform Securities Agent State Law Examination Series 63 12/09/1983
General Securities Representative Examination Series 7 11/19/1983

Firm Compensation Arrangements

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Types of Compensation Arrangements

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