Kimberly James is a registered investment advisor, based in Lincolnton, NC, with 25 years of industry experience.
Location
Lincolnton, NC
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
September 2023 - Present · 2 yrs 8 mos
Raymond James Financial Services, INC.
September 2023 - Present · 2 yrs 8 mos
Raymond James & Associates, INC.
February 2022 - Present · 4 yrs 3 mos
Raymond James & Associates, INC.Broker
February 2022 - Present · 4 yrs 3 mos
Raymond James & Associates, INC.
February 2022 - Present · 4 yrs 3 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - January 2022 · 12 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - January 2022 · 12 yrs 3 mos
Banc of America Investment Services, INC.
October 2007 - October 2009 · 2 yrs
Banc of America Investment Services, INC.Broker
October 2007 - October 2009 · 2 yrs
Stephens INC.
July 2006 - October 2007 · 1 yr 3 mos
Stephens INC.Broker
March 2006 - October 2007 · 1 yr 7 mos
Citigroup Global Markets INC.Broker
February 2006 - March 2006 · 1 mo
Legg Mason Wood Walker, IncorporatedBroker
November 2000 - February 2006 · 5 yrs 3 mos
State Registrations1 state
NC
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.