James Lester Ross II

CRD 4448926 · Captrust · Tampa, FL

IA RegisteredBroker

Also appears in the source record as: James Lester Ross

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 66SIESeries 31Series 7
Registered states (2): Florida · Virginia
Years in the industry (source record): 18
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Captrust
Firm CRD: 175112
SEC number: 801-62193
Assets under management: $1.2T as of May 27, 2026
Website: www.linkedin.com/COMPANY/CAPTRUST ↗
Phone: 919-870-6822
Firm location: Raleigh, NC, 27609

Employment history (13)

From the source registration record · current first

CaptrustCurrent
Tampa, FL · IA capacity

Jan 7, 2026 → present
Capfinancial Securities, LLC.Current
Fernandina Beach, FL · BD capacity

Jul 9, 2025 → present
Mason Securities, Inc.
BD capacity

May 10, 2016 → Feb 28, 2025
Lancaster Pollard Investment Advisory Group
IA capacity

Jan 28, 2014 → Dec 1, 2015
Lancaster Pollard & Co., LLC
BD capacity

Jan 27, 2014 → Dec 1, 2015
Morgan Stanley
IA capacity

May 18, 2012 → Aug 21, 2013
Morgan Stanley
BD capacity

May 17, 2012 → Aug 21, 2013
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Nov 23, 2009 → May 18, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Nov 20, 2009 → May 18, 2012
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Nov 24, 2009
Morgan Stanley Smith Barney LLC
IA capacity

Jun 1, 2009 → Nov 24, 2009
Morgan Stanley & Co. Incorporated
IA capacity

Dec 10, 2008 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
BD capacity

Nov 14, 2008 → Jun 1, 2009

Source & corrections

Where this page comes from

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