Best Investors Account Sign in
Inactive

Lisa Ruth James

Ingalls Investment Management, LLC

New York, NY

Claim This Profile
Current Employers
Ingalls Investment Management, Llc

1 Rockefeller Plaza 7Th Floor, New York, NY 10020 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-08-10
NY RA APPROVED 2026-08-10
  • CA RA
    APPROVED
    Since 2026-08-10
  • NY RA
    APPROVED
    Since 2026-08-10

Branch Locations

1 Rockefeller Plaza 7Th Floor, New York, NY 10020

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
Lisa James Design & Development Ross CA 02/2014 07/2017
Ingalls & Snyder Llc New York NY 08/2017 Present
Ingalls Investment Management, Llc New York NY 08/2026 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-11-28
S63 Uniform Securities Agent State Law Examination 1986-06-12
  • S65 Uniform Investment Adviser Law Examination
    2017-11-28
  • S63 Uniform Securities Agent State Law Examination
    1986-06-12

View on SEC IAPD

More in New York, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor