James W. Anderson
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 Warren Anderson, who also goes by Jim Anderson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 7 firms and has passed the Series 63, Series 7, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2009 - January 31, 2014
WFG INVESTMENTS, INC.
December 16, 2003 - July 7, 2009
MID ATLANTIC CLEARING & SETTLEMENT CORPORATION
July 2, 2003 - December 31, 2008
WFG INVESTMENTS, INC.
October 25, 2000 - March 21, 2003
BLUE MARBLE FINANCIAL, LLC
December 4, 1991 - September 16, 1999
FINANCIAL WEST GROUP
January 1, 1988 - May 3, 1991
CIBC WORLD MARKETS CORP.
August 25, 1987 - December 14, 1987
WEN BIRKHOFER & CO., INC.
May 29, 1985 - May 3, 1991
CIBC WORLD MARKETS CORP.
October 20, 1982 - May 29, 1985
LEHMAN BROTHERS 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
WFG INVESTMENTS, INC.
CRD#: 22704 / SEC#: , 8-39928
Contact information
Documents
Disclosures
| Regulatory Event | 23 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
