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11750 Katy Freeway Suite 840, Houston, TX 77079 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2017-07-11 |
Branch Locations
11750 Katy Freeway Suite 840, Houston, TX 77079 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Conroe | TX | 10/2012 | 07/2017 |
| Clarity Financial, Llc | Houston | TX | 07/2017 | Present |
| Ria Wealth Advisors, Llc | Houston | TX | 08/2021 | 09/2023 |
| Ria Insurance Agency | Houston | TX | 03/2024 | Present |
| Ria Global Research Llc | Houston | TX | 10/2024 | Present |
James D. Ratliff is an owner of SimpleVisor which is a registered SEC robo investment adviser. James D. Ratliff owns 10% of RIA Insurance Agency, LLC a licensed insurance agency and is also a licensed insurance agent with RIA Insurance Agency. This creates a conflict of interest as there is an incentive for Mr. Ratliff to recommend insurance products based on the compensation received, rather than on the client's needs. Notwithstanding such conflict of interest, RIA Advisors manages this conflict of interest by monitoring the suitability of such insurance products as a portion of the client's investment needs, by utilizing insurance products only where it is in the client's best interest, and after consultation with the client regarding the insurance products, which consultation includes the disclosure of such potential conflicts in accordance with our fiduciary duty as the client's adviser. With respect to the business activities of RIA Insurance, James Ratliff spends approximately 20 hours per month engaged overseeing those activities.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-04-03 |
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