James B. Wiley
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 Brady Wiley JR, who also goes by (jr) James B Wiley, Jim Wiley, 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 66, Series 63, SIE, Series 7, Series 2 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2010 - December 31, 2011
SCF INVESTMENT ADVISORS, INC.
July 8, 2008 - March 26, 2010
SCF INVESTMENT ADVISORS, INC.
June 1, 2005 - November 30, 2015
SCF SECURITIES, INC.
May 25, 2005 - December 31, 2005
BURCH & COMPANY, INC
July 26, 2004 - March 17, 2005
AMFIN INVESTMENT SERVICES, INC.
January 1, 2004 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
August 21, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 19, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
April 8, 1983 - December 31, 2000
HORACE MANN INVESTORS, 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
Series 2
Date: 3/31/1973
Non-Member General Securities ExaminationCurrent Firm
SCF INVESTMENT ADVISORS, INC.
CRD#: 123608 / SEC#: 801-71206
Contact information
Regulatory assets under management
| Total Number of Accounts | 6,190 |
| AUM (Assets Under Management) | $ 1,349,597,453 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2024 | ||
| 06/28/2024 |
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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