James R. Buck
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 Russell Buck, CFP®, who also goes by Jim Russell Buck, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1990
Experience
February 18, 2004 - December 31, 2005
THE MILLENNIAL GROUP
January 1, 2004 - December 31, 2022
CETERA ADVISORS LLC
January 1, 2004 - December 31, 2022
CETERA ADVISORS LLC
September 26, 2003 - January 1, 2004
VESTAX SECURITIES CORPORATION
September 25, 2003 - January 1, 2004
VESTAX SECURITIES CORPORATION
August 27, 2001 - October 1, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 29, 2001 - October 1, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 19, 1989 - January 30, 2001
OSAIC WEALTH, INC.
October 8, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
April 4, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
April 4, 1983 - October 26, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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
No current employment
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.
