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JA

James S. Andrews

WORLD CAPITAL BROKERAGE
Denver, CO 80203
Some features on this profile are disabled
CRD#: 1093723
JA

Professional summary

James Selden Andrews is a registered financial professional currently at WORLD CAPITAL BROKERAGE, INC. located in Denver, Colorado.

James is registered as a RR (Registered Representative) and started their career in finance in 1983. James has worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 15 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Selden Andrews's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 19, 2018 - Present

WORLD CAPITAL BROKERAGE, INC.

Office #1: 1636 Logan Street, Denver, CO 80203
BD
CRD#: 37
Denver, CO
Past

February 10, 2015 - October 22, 2018

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

August 2, 2010 - December 31, 2014

LINCOLN INVESTMENT

BD
CRD#: 519
WEST LINN, OR
Past

February 15, 2005 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

BD
CRD#: 36451
WEST LYNN, OR
Past

April 12, 2000 - February 15, 2005

PMG SECURITIES CORPORATION

BD
CRD#: 27107
ELGIN, IL
Past

September 9, 1993 - April 12, 2000

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

September 9, 1993 - April 12, 2000

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

April 1, 1991 - October 4, 1993

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, NJ
Past

February 24, 1988 - August 15, 1990

PIPER SANDLER & CO.

BD
CRD#: 665
MINNEAPOLIS, MN
Past

March 20, 1984 - March 5, 1988

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 25, 1983 - January 31, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Oregon
(10/19/2018)
RR
Washington
(10/19/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/29/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 15
Date: 4/15/1985
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/1983
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WORLD CAPITAL BROKERAGE, INC.
WORLD CAPITAL BROKERAGE, INC.
A.G.F. SPONSORS, INC. | WORLD CAPITAL BROKERAGE, INC. | AMERICAN GROWTH FUND SPONSORS, INC.

CRD#: 37 / SEC#: , 8-6805

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1636 N. Logan Street, Denver, CO 80203
Mailing Address
1636 N. Logan Street, Denver, CO 80203
Phone number
(303) 626-0631
Established
Colorado since 07/18/1958
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AGF HOLDINGS INC.OWNER
BLUM, PATRICIA ANNVICE PRESIDENT4467584
GAUGHAN, MICHAEL LAWRENCEVICE PRESIDENT, SECRETARY2915597
TAGGART, TIMOTHY EUGENECHIEF FINANCIAL OFFICER, PRESIDENT, CHIEF COMPLIANCE OFFICER, TREASURER, SALES, MARKETING, TRAINING & DIRECTOR1075525

Disclosures

Regulatory Event3

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.

Company Information

WORLD CAPITAL BROKERAGE, INC.

WORLD CAPITAL BROKERAGE, INC.

CRD#: 37Denver, CO 80203

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