James StitesCRD Number: 3171690
Current Firm: Waddell & Reed
James Stites (CRD# 3171690) is an Investment Advisor Representative working at Waddell & Reed in Nashville, TN and has over 18 years of experience in the finance industry.
Retirement Resources Management, LLC
Envision Wealth Planning
Raymond James Financial Services Advisors, Inc.
|Pearl Meadow LLC||Brentwood, TN||Nov 2012 - Current||4|
|Destin Sea Star, LLC||Brentwood, TN||Jul 2011 - Current||6|
|Various Insurance Carriers Forn W&r Insurance Agencies||Brentwood, TN||Feb 1999 - Current||18|
|Waddell & Reed, Inc.||Franklin, TN||Jan 1999 - Current||18|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1999|
|S65||NASAA Investment Advisors Law Examination||Jan 2005|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management18,309MILLIONS
Total Number of Accounts149,599ACCOUNTS
Average Account Value$122,387
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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