James H. Jordan
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 Henry Jordan was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 2 firms and has passed the Series 63 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
August 26, 1993 - October 13, 1993
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
September 24, 1987 - May 23, 1991
DERAND/PENNINGTON/BASS, 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
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
CRD#: 24220 / SEC#: , 8-41042
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANADA LIFE INSURANCE COMPANY OF AMERICA | PARENT | |
| BYRNE, BEVERLY ANN | SECRETARY | 1983774 |
| DERBACK, GLEN RAY | TREASURER | 1330783 |
| GILE, SUSAN CURTIS | ADMINISTRATIVE OFFICER | 1689044 |
| LAEYENDECKER, RONALD JOHN | VICE PRESIDENT | 2420179 |
| LUIZ, TERESA LYNN | COMPLIANCE OFFICER | 1573186 |
| MAIERS, MARY CAROL | INVESTMENTS COMPLIANCE OFFICER & FINANCIAL OPERATIONS PRINCIPAL | 4468209 |
| MCDONALD, GRAHAM RICHARD | DIRECTOR | 1250661 |
| NELSON, CHARLES PATRICK | DIRECTOR & PRESIDENT | 1161349 |
| SHAW, ROBERT KENNETH | DIRECTOR | 1224633 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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