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James Lewis Groves

Raleigh Capital Management Inc.

Cary, NC

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Current Employers
Raleigh Capital Management Inc.

117 Edinburgh South Drive Suite 110, Cary, NC 27511 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2018-09-06
  • NC RA
    APPROVED
    Since 2018-09-06

Branch Locations

117 Edinburgh South Drive Suite 110, Cary, NC 27511 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pnc Investments Pittsburgh PA 03/2014 12/2017
Raleigh Capital Management / Raleigh Wealth Solutions Cary NC 08/2018 Present
Unemployed Sanford NC 12/2017 08/2018
  • 03/2014 → 12/2017
    Pnc Investments
    Pittsburgh, PA
  • 08/2018 → Present
    Raleigh Capital Management / Raleigh Wealth Solutions
    Cary, NC
  • 12/2017 → 08/2018
    Unemployed
    Sanford, NC
Previous Registrations
  • 2014-03-17 → 2017-12-20
    Holly Springs, NC
    Garner, NC
    Smithfield, NC
    Faquay Varina, NC
    Clayton, NC
    Pinehurst, NC
    Pinehurst, NC
    Southern Pines, NC
    Asheboro, NC
    Sanford, NC
    Sanford, NC
    Ashboro, NC
    Siler City, NC
    Pinehurst, NC
    Fayetteville, NC
    Fayetteville, NC
    Laurinburg, NC
    Lumberton, NC
Other Businesses

RALEIGH WEALTH SOLUTIONS, INC., A COMPANY OFFERING LIFE INSURANCE AND ANNUITIES. 117 Edinburgh South Drive, Suite 110, Cary, NC 27511; ADVISOR, COMPLETING AND PROCESSING INSURANCE APPLICATIONS. APPROX 2 HOURS EACH MONTH IN THIS POSITION PROCESSING APPLICATIONS AND RECOMMENDING INSURANCE PRODUCTS TO CLIENTS. ALL DURING SECURITIES TRADING HOURS. START DATE 8/2018.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-07
S63 Uniform Securities Agent State Law Examination 1993-03-06
  • S66 Uniform Combined State Law Examination
    2014-03-07
  • S63 Uniform Securities Agent State Law Examination
    1993-03-06
Designations
Other Names
  • Jim Groves

View on SEC IAPD

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