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James Thomas Ruffin

Elemental Capital Management, LLC

Henrico, VA

CRD 5390979

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Employer firm

Elemental Capital Management, LLC CRD 147218

$43.4M regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Elemental Capital Management, Llc

Henrico, VA • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2018-02-08
  • VA RA
    APPROVED
    Since 2018-02-08

Branch Locations

Henrico, VA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Richmond VA 10/2010 11/2016
Wells Fargo Clearing Services, Llc Richmond VA 11/2016 02/2018
Elemental Capital Management, Llc Glen Allen VA 02/2018 Present
Previous Registrations
  • 2010-10-01 → 2018-02-08
    Wells Fargo Clearing Services, Llc
    Richmond, VA
    Richmond, VA
    North Chesterfield, VA
    Richmond, VA
    North Chesterfield, VA
    Midlothian, VA
    Richmond, VA
  • 2008-07-14 → 2010-10-04
    Truist Investment Services, Inc.
    Roanoke, VA
  • 2007-10-11 → 2008-04-28
    Edward Jones
    Summerville, SC
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-09-27
  • S66 Uniform Combined State Law Examination
    2007-09-27
Other Names
  • James T Ruffin

View on SEC IAPD

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