James S. Bancroft
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 Smith Bancroft, who also goes by James Mehl Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 5 firms and has passed the Series 7, Series 27, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 1995 - January 19, 1996
BANC ONE CAPITAL MARKETS, INC.
June 26, 1986 - December 3, 1999
BANCROFT, GARCIA & LAVELL, INC.
July 31, 1984 - June 26, 1986
B.O.C.L. SECURITIES CORP.
June 6, 1983 - June 26, 1986
BANCROFT, O'CONNOR, CHILTON & LAVELL, INC.
November 9, 1981 - October 30, 1991
LEHMAN BROTHERS 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
BANC ONE CAPITAL MARKETS, INC.
CRD#: 27267 / SEC#: , 8-42971
Contact information
Documents
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.
