James P. Booth
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 Parker Booth, who also goes by Jim Booth, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 11 firms and has passed the Series 63, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2012 - September 24, 2013
FINTEGRA, LLC
August 4, 2008 - June 28, 2010
MILKIE/FERGUSON INVESTMENTS, INC.
September 3, 2004 - August 25, 2006
AFS BROKERAGE, INC.
May 27, 2003 - January 30, 2004
ALLSTATE FINANCIAL SERVICES, LLC
January 11, 2001 - November 18, 2002
CETERA INVESTMENT SERVICES LLC
October 4, 1999 - August 24, 2000
ATLAS SECURITIES, LLC
April 4, 1997 - September 8, 1998
CONSECO SECURITIES, INC.
March 8, 1996 - July 29, 1996
FIRST ALLIED SECURITIES, INC.
February 9, 1993 - October 17, 1995
BAYBANKS BROKERAGE SERVICES, INC.
March 12, 1991 - December 7, 1992
CETERA INVESTMENT SERVICES LLC
March 24, 1986 - March 20, 1991
INVEST FINANCIAL CORPORATION
September 7, 1982 - March 5, 1986
FORESTERS 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
FINTEGRA, LLC
CRD#: 16741 / SEC#: 801-56275, 8-34434
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINTEGRA HOLDINGS, LLC | SHAREHOLDERS | |
| CAURRO, STEPHEN ANTHONY | BOARD OF DIRECTORS | 5845813 |
| CONNER, DANIEL | BOARD OF DIRECTORS | |
| SCHMITZ, DOUGLAS GENE | BOARD OF DIRECTORS | 1771132 |
| SCHUH, JEFFREY ALLEN | CHIEF FINANCIAL OFFICER, FINOP | 1036839 |
| WALTER, KENNETH JOHN | BOARD OF DIRECTORS | 5845803 |
| WEBER, DOREEN LEA | PRESIDENT/CEO/CCO | 1368639 |
Disclosures
| Regulatory Event | 4 |
| 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.
