James W. Adams
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 William Adams was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 11 firms and has passed the Series 63, Series 1, 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 21, 1992 - December 17, 1992
WASHINGTON INVESTMENT CORPORATION
April 19, 1988 - July 24, 1992
ADAMS SECURITIES, INC.
August 7, 1985 - April 21, 1988
J. W. GANT & ASSOCIATES, INC.
August 15, 1983 - July 29, 1985
NIELSON AND CLARK INC.
April 7, 1982 - August 15, 1983
CHESLEY AND DUNN, INC.
May 28, 1978 - April 1, 1982
AMERICAN WESTERN SECURITIES, INC.
October 20, 1976 - May 28, 1978
AMERICAN WESTERN SECURITIES, INC.
September 1, 1976 - October 4, 1976
INSTITUTIONAL SECURITIES OF COLORADO, INC.
December 19, 1973 - October 10, 1976
WEDBUSH SECURITIES INC.
May 13, 1969 - September 15, 1973
FIRST MID-AMERICA INC.
May 13, 1969 - September 15, 1973
FIRST MID AMERICA CORPORATION
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
Series 1
Date: 11/27/1968
Registered Representative ExaminationCurrent Firm
WASHINGTON INVESTMENT CORPORATION
CRD#: 25727 / SEC#: , 8-41991
Contact information
Documents
Red Flags
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