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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

JAMES LESTER ROSS II

Advisor at CAPTRUST

Tampa, FL | Fernandina Beach, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Dec 10, 2008 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAPTRUST
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 9, 2008earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S65|S66
First exam: Dec 9, 2008
First registration: Dec 10, 2008
Dual registered: yes, broker-dealer
Other names: JAMES LESTER ROSS|James Lester Ross|JAMES LESTER ROSS II
IAPD individual key: 4448926

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Captrust	Institutional manager	Jan 7, 2026	n/a	yes	Fernandina Beach, FL\|Tampa, FL	Current employment
LANCASTER POLLARD INVESTMENT ADVISORY GROUP	Former SEC adviser	Jan 28, 2014	Dec 1, 2015	no	COLUMBUS, OH	Previous registration
MORGAN STANLEY	Wirehouse	May 18, 2012	Aug 21, 2013	no	Columbus, OH	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 23, 2009	May 18, 2012	no	COLUMBUS, OH	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Nov 24, 2009	no	Columbus, OH	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Dec 10, 2008	Jun 1, 2009	no	COLUMBUS, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
LANCASTER POLLARD INVESTMENT ADVISORY GROUP	Captrust	Dec 1, 2015	Jan 7, 2026	3,690	Firm change after gap	Other
MORGAN STANLEY	LANCASTER POLLARD INVESTMENT ADVISORY GROUP	Aug 21, 2013	Jan 28, 2014	160	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	May 18, 2012	May 18, 2012	0	Firm change	Wirehouse to wirehouse
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Nov 24, 2009	Nov 23, 2009	-1	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ CAPTRUSTRegistered adviserregistration: current employment
Jan 7, 2026 to presentfactForm ADV
→ LANCASTER POLLARD INVESTMENT ADVISORY GROUPRegistered adviserregistration: previous registration
Jan 28, 2014 to Dec 1, 2015factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
May 18, 2012 to Aug 21, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 23, 2009 to May 18, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Dec 10, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.