James C. Stevenson
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 Craig Stevenson, who also goes by Jim Stevenson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 8 firms and has passed the Series 63, SIE, Series 5, 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
April 1, 2017 - November 18, 2022
FHN FINANCIAL SECURITIES CORP.
April 21, 2011 - April 1, 2017
COASTAL SECURITIES, INC.
August 3, 2007 - April 18, 2011
SIMMONS FIRST INVESTMENT GROUP, INC.
November 3, 2000 - August 2, 2007
BOK FINANCIAL SECURITIES, INC.
September 28, 1989 - November 7, 2000
MORGAN KEEGAN & COMPANY, LLC
May 6, 1988 - October 2, 1989
LEHMAN BROTHERS INC.
April 21, 1987 - April 19, 1988
THOMSON MCKINNON SECURITIES INC.
March 14, 1983 - October 2, 1989
LEHMAN BROTHERS INC.
December 21, 1982 - February 28, 1983
STEPHENS
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 5
Date: 6/22/1984
Interest Rate Options ExaminationCurrent Firm
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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