James Alexander Baber

Current Employers

Employment History

• 09/2017 → Present
  Raymond James & Associates, Inc
  Richmond, VA
• 07/2011 → 09/2017
  Janney Montgomery Scott Llc
  Richmond, VA

Previous Registrations

• 2011-07-07 → 2017-09-28
  Janney Montgomery Scott Llc
  Richmond, VA
• 2006-02-14 → 2011-07-18
  Scott & Stringfellow, Llc
  Richmond, VA
  Richmond, VA
• 1999-04-16 → 2006-02-14
  Legg Mason Wood Walker, Incorporated
  Richmond, VA

Other Businesses

(1)Name of Business: Ask Childhood Cancer Foundation Address: 5211 West Broad Street, Richmond, VA, 23230, United States Activity Type: Non profit Position/Title: Committee Member Investment Related: Yes Start Date: 09/27/2017 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Finance Com. Member (2)Name of Business: The Titmus Foundation Address: 3516 Whippernock Farm Road, Sutherland, VA, 23885, United States Activity Type: Non profit Position/Title: Director Investment Related: Yes Start Date: 01/01/2018 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am a board member and we hold the foundation account at RJ. All investment decisions are made by the family members. (3)Name of Business: Zeta Lodge Institute Address: 305 Henry St., Ashland, VA, 23005, United States Activity Type: Non profit Position/Title: Other Investment Related: Yes Start Date: 01/01/2018 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: I am a board member and we provide scholarship opportunities for the current brothers.

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-09-24
• S63 Uniform Securities Agent State Law Examination
  1996-12-12