James R. Cleveland
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Russell Cleveland, who also goes by Rusty Cleveland, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 1994 - April 20, 1995
D.E. FREY & COMPANY, INC.
March 17, 1993 - February 18, 1994
RHODES SECURITIES, INC.
December 11, 1991 - March 22, 1993
UBS FINANCIAL SERVICES INC.
July 16, 1991 - December 11, 1991
A. G. EDWARDS & SONS, INC.
December 13, 1989 - July 19, 1991
CITIGROUP GLOBAL MARKETS INC.
June 26, 1989 - January 2, 1990
LEHMAN BROTHERS INC.
September 1, 1988 - June 27, 1989
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
December 17, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
July 24, 1984 - January 30, 1988
E. F. HUTTON & COMPANY INC
August 6, 1981 - July 20, 1984
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
