James S. Andrews
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 Selden Andrews was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 15 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
October 19, 2018 - November 24, 2025
WORLD CAPITAL BROKERAGE, INC.
February 10, 2015 - October 22, 2018
FORESTERS EQUITY SERVICES, INC.
August 2, 2010 - December 31, 2014
LINCOLN INVESTMENT
February 15, 2005 - August 2, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 12, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
September 9, 1993 - April 12, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 9, 1993 - April 12, 2000
OSAIC FA, INC.
April 1, 1991 - October 4, 1993
CITISTREET EQUITIES LLC
February 24, 1988 - August 15, 1990
PIPER SANDLER & CO.
March 20, 1984 - March 5, 1988
CITIGROUP GLOBAL MARKETS INC.
January 25, 1983 - January 31, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 15
Date: 4/15/1985
Foreign Currency Options ExaminationCurrent Firm
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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