JD
JD
James Diffley
43 Years of Experience
Atlanta, GA
2 DisclosuresBroker
James Diffley is a registered investment advisor at Carter, Terry & Company, INC., based in Atlanta, GA, with 43 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 168 clients with $100M in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
17 advisors
Number of Clients
168 clients
Average Client Portfolio
$619K average
Assets Under Management
$104.0M
Fee Structure
Minimum Investment:$25K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $2.0M | 2.00% |
| $2.0M - $5.0M | 1.80% |
| $5M+ | 1.50% |
All fees are negotiable at the firm's sole discretion.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
3340Peachtree Road Suite 1400, Atlanta, GA, 30326
Get directionsHistory
Regulatory History (2)
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Judgment / Lien
June 2015Customer Dispute
July 1986Settled
Employment History
Current Registrations
Carter, Terry & Company, INC.
July 2004 - Present · 22 yrs 3 mos
Carter, Terry & Company, INC.Broker
April 2004 - Present · 22 yrs 6 mos
Previous Registrations
Wachovia Securities, LLC
May 2003 - March 2004 · 10 mos
Wachovia Securities, LLCBroker
September 1999 - March 2004 · 4 yrs 6 mos
Dean Witter Reynolds INC.Broker
April 1991 - September 1999 · 8 yrs 5 mos
Alex. Brown & Sons IncorporatedBroker
June 1985 - March 1991 · 5 yrs 9 mos
J.C. Bradford & CO.Broker
April 1983 - July 1985 · 2 yrs 3 mos
State Registrations9 states
ALAZGANCNMSCTXVAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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