James Applewhite is a registered investment advisor, based in Raleigh, NC, with 42 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
3605 Glenwood Ave, Ste 400, Raleigh, NC, 27612
Get directionsHistory
Regulatory History (7)
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Customer Dispute
July 2020Denied
Regulatory
May 2014Final
Employment Separation After Allegations
October 2012Customer Dispute
June 2009Settled
Customer Dispute
February 2008Denied
Customer Dispute
July 1996Settled
Customer Dispute
October 1995Settled
Other Business Activities
James owns rental property jointly with his wife, which is managed by a property management company. He is also a singer in a classic and alternative rock band, spending a few hours per week on this activity.
Employment History
Current Registrations
Truist Advisory Services, INC.
February 2021 - Present · 5 yrs 8 mos
Truist Investment Services, INC.Broker
February 2021 - Present · 5 yrs 8 mos
Truist Investment Services, INC.
February 2021 - Present · 5 yrs 8 mos
Previous Registrations
Bb&t Securities, LLCBroker
January 2013 - February 2021 · 8 yrs 1 mo
Bb&t Securities, LLC
January 2013 - February 2021 · 8 yrs 1 mo
Scott & Stringfellow, LLC
November 2012 - January 2013 · 2 mos
Scott & Stringfellow, LLCBroker
November 2012 - January 2013 · 2 mos
Wells Fargo Advisors, LLC
December 2001 - November 2012 · 10 yrs 11 mos
Wells Fargo Advisors, LLCBroker
October 2000 - November 2012 · 12 yrs 1 mo
First Union Brokerage Services, INC.Broker
February 1994 - October 2000 · 6 yrs 8 mos
Barnett Investments, INC.Broker
May 1991 - February 1994 · 2 yrs 9 mos
Fn Investment CenterBroker
December 1989 - April 1991 · 1 yr 4 mos
Planned Management CompanyBroker
August 1989 - October 1989 · 2 mos
Jmc Investment Services, INC.Broker
January 1988 - April 1989 · 1 yr 3 mos
Spear Investment Services, INC.Broker
July 1985 - April 1989 · 3 yrs 9 mos
First Investors CorporationBroker
November 1983 - July 1985 · 1 yr 8 mos
State Registrations13 states
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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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