James R. Love
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 Richard Love, who also goes by Jim Love, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 1996 - October 31, 2001
UNITED HERITAGE FINANCIAL SERVICES, INC.
April 7, 1992 - March 6, 1995
JOHN HANCOCK DISTRIBUTORS LLC
April 23, 1990 - April 2, 1991
SIGNATOR FINANCIAL SERVICES, INC.
January 18, 1989 - May 9, 1990
NORTH AMERICAN MANAGEMENT, INC.
July 29, 1986 - January 7, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 20, 1986 - March 5, 1990
C.A.L. INVESTMENT SERVICES INC.
June 8, 1983 - January 21, 1986
MML INVESTORS SERVICES, LLC
May 25, 1983 - January 22, 1986
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
August 13, 1981 - January 12, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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
UNITED HERITAGE FINANCIAL SERVICES, INC.
CRD#: 35316 / SEC#: , 8-46649
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UNITED HERITAGE FINANCIAL GROUP | OWNER | |
| BAKER, GEOFFREY MORGAN | GENERAL COUNSEL/VICE PRESIDENT | 4760890 |
| DELANA, KENT MICHAEL | GENERAL SECURITIES PRINCIPAL CHEIF COMPLIANCE OFFICER/DIRECTOR | 2647282 |
| HALL, RICHARD EDGAR | CHAIRMAN | |
| JOHNSON, DENNIS LANE | VICE PRESIDENT/DIRECTOR | 2418282 |
| SMITH, RODNEY L | VICE CHAIRMAN | |
| WINDERL, JACK JAY | PRESIDENT/DIRECTOR | 2545413 |
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.
