William Robert James
Professional Summary
William Robert James, who also goes by Bill James, was a registered financial advisor. William was a previously registered financial professional and started their career in finance 1981 - 2020. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill James
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
AX TRADING, LLC | X41 TRADING, LLC
Contact Information
Established
Delaware since 05/26/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2024About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Dec 2004Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1981About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2024About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2024About the Series 9 examSeries 12 — NYSE Branch Manager Examination
Passed Dec 2005Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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