James D. Hooks
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 David Hooks was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 7 firms and has passed the Series 63, SIE, Series 50, Series 7, Series 52, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2015 - November 17, 2020
KIPLING JONES & CO., LTD.
June 4, 2012 - September 18, 2013
CARTY, HARDING & HEARN, INC.
January 3, 2003 - July 6, 2010
STERNE, AGEE & LEACH, INC.
April 8, 1998 - May 21, 2001
ACUMENT SECURITIES, INC.
February 28, 1995 - July 17, 1996
BLOUNT PARRISH & COMPANY, INC.
May 30, 1991 - June 5, 1993
BLOUNT PARRISH & COMPANY, INC.
July 19, 1989 - April 15, 1991
SOUTHTRUST SECURITIES, LLC
March 15, 1983 - December 6, 1985
FIRST BIRMINGHAM SECURITIES 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
Current Firm
KIPLING JONES & CO., LTD.
CRD#: 144730 / SEC#: , 8-67672
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RJJ HOLDINGS, LLC | LIMITED PARTNER, CLASS A | |
| LINE STREET HOLDINGS, LLC | LIMITED PARTNER, CLASS A | |
| JONESCAP, LLC | GENERAL PARTNER | |
| ROACH, ROBERT GARFIELD JR | DESIGNATED PRINCIPAL & CCO | 2731222 |
Disclosures
| Regulatory Event | 9 |
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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