William R. James
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.
William Robert James, who also goes by Bill James, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 10 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 14, Series 27, Series 24, Series 10, Series 9, Series 53, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2019 - July 7, 2020
AX TRADING, LLC
January 18, 2013 - July 22, 2014
BENJAMIN & JEROLD BROKERAGE I, LLC
June 30, 2004 - March 27, 2017
GLOBAL EMERGING CAPITAL GROUP, LLC
June 13, 1995 - July 13, 2004
CRESAP, INC.
September 9, 1994 - November 3, 1994
INTERVEST FINANCIAL SERVICES, INC.
January 25, 1993 - June 3, 1994
INTERVEST FINANCIAL SERVICES, INC.
September 21, 1989 - January 11, 1993
HIBBARD BROWN & CO., INC.
October 13, 1986 - December 31, 1988
GLOBAL INVESTOR SECURITIES, INC.
September 5, 1986 - October 13, 1986
AMERICAN FRONTEER FINANCIAL CORPORATION
January 20, 1983 - February 5, 1986
PFS INVESTMENTS INC.
October 31, 1981 - February 16, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/24/2024
General Securities Representative ExaminationSeries 52TO
Date: 1/24/2024
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/24/2024
Operations Professional ExaminationSeries 57TO
Date: 1/24/2024
Securities Trader ExamSeries 55
Date: 12/1/2004
Limited Representative-Equity Trader ExamSeries 12
Date: 12/6/2005
NYSE Branch Manager ExaminationCurrent Firm
AX TRADING, LLC
CRD#: 154702 / SEC#: , 8-68667
Contact information
Documents
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.
