James S. Emanuel
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 Steven Emanuel was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2012 - December 6, 2017
TRUSTMONT ADVISORY GROUP, INC.
February 2, 2012 - December 6, 2017
TRUSTMONT FINANCIAL GROUP, INC.
August 25, 2011 - February 1, 2012
OSAIC FS, INC.
September 25, 1998 - February 1, 2012
OSAIC FS, INC.
November 19, 1989 - December 5, 1989
OSAIC WEALTH, INC.
June 22, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 1, 1988 - July 19, 1989
ROYAL FINANCIAL GROUP, INC.
October 2, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
October 2, 1987 - October 13, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 2, 1987 - October 13, 1998
OSAIC FA, INC.
March 5, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 9, 1986 - March 23, 1987
FOCUS SECURITIES, INC.
May 10, 1984 - June 25, 1986
CARDELL & ASSOCIATES, INCORPORATED
September 15, 1982 - May 14, 1984
WS GRIFFITH SECURITIES, INC.
Primary Firm SEC Registration
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
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
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
Contact information
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,387 |
| AUM (Assets Under Management) | $ 1,126,006,619 |
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.
