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Other Names: James G Criticos
Type: Registered Representative

James Criticos is a financial professional at Sage, Rutty & Co., Inc., a broker-dealer with 48 registered representatives nationwide. James has held an industry securities registration for 31 years and is subject to FINRA oversight.

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Answers and Guides

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Top Answers

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Top Guides

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Firm Client Types

High Net Worth Individuals
Banking or Thrift Institutions
Charitable Organizations
Corporations or Other Businesses

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

Experience and Employment History

Employer Years Dates
Sage, Rutty & Co., Inc. 11 years, 10 months Jul 2002 - Present
Legg Mason Wood Walker, Inc. 7 years, 7 months Dec 1994 - Jul 2002
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , 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

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 11/12/1992
Uniform Securities Agent State Law Examination Series 63 06/11/1985
General Securities Representative Examination Series 7 01/17/1981

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees