James B. Flautt
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 Buford Flautt, who also goes by James B Flautt, Jim Flautt, Jimmy Flautt, 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, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2015 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
June 18, 2015 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
February 6, 2014 - February 11, 2015
EMPOWER FINANCIAL SERVICES, INC.
July 31, 2013 - January 21, 2014
VOYA FINANCIAL ADVISORS, INC.
July 31, 2013 - January 21, 2014
VOYA FINANCIAL ADVISORS, INC.
December 6, 2007 - July 31, 2013
VOYA FINANCIAL PARTNERS, LLC
August 26, 1999 - January 21, 2014
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
March 19, 1999 - August 26, 1999
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
May 7, 1992 - March 13, 1997
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
September 22, 1989 - June 1, 1992
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
October 7, 1986 - September 5, 1990
AETNA FINANCIAL SERVICES, INC.
June 19, 1983 - March 6, 1992
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
