James B. Stuart
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 Barry Stuart JR, who also goes by James Barry Stuart, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 6 firms and has passed the Series 63, SIE, Series 3 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
October 13, 1998 - May 1, 2020
HUNTLEIGH SECURITIES CORPORATION
May 5, 1994 - September 18, 1998
CIBC WORLD MARKETS CORP.
July 25, 1991 - May 18, 1994
PRUDENTIAL EQUITY GROUP, LLC
April 11, 1988 - August 22, 1991
LEHMAN BROTHERS INC.
November 30, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
December 24, 1981 - December 8, 1987
UBS FINANCIAL SERVICES 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
HUNTLEIGH SECURITIES CORPORATION
CRD#: 7456 / SEC#: , 8-21893
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAMBERS, ROBERT LEWIS | PRESIDENT/DIRECTOR/OWNER | 1231649 |
| GAO CONSULTING, LLC | OWNER | |
| CHAMBERS, ROBERT BARRETT | DIRECTOR | 6963634 |
| LEOPOLD, MICHAEL WARREN | DIRECTOR | 306991 |
| MARSHALL, CATHERINE TERRY | CCO/DIRECTOR/CORPORATE SECRETARY | 1445205 |
| O'CONNELL, CHRISTOPHER CORY | DIRECTOR | 5008251 |
| OVERSCHMIDT, GREG ALFRED | DIRECTOR | 1160877 |
| THOMAS, KAREN LEE | CHIEF OPERATIONS OFFICER AND FIN/OP | 1970467 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
