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HJ

Harry E. James

Some features on this profile are disabled
CRD#: 1151498
HJ

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.

Harry Elliott James III, who also goes by Harry E James, Harry Elliott James, was a registered financial professional .

Harry is a previously registered financial professional and started their career in finance in 1983. Harry had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 2 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harry E James | Harry Elliott James

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 14, 2008 - August 19, 2020

LOCKTON INVESTMENT SECURITIES, LLC

BD
CRD#: 137476
ST. LOUIS, MO
Past

August 16, 2007 - October 26, 2021

LOCKTON INVESTMENT ADVISORS, LLC

RIA
CRD#: 144133
ST. LOUIS, MO
Past

July 3, 2006 - July 2, 2008

OSAIC SERVICES, INC.

BD
CRD#: 133763
ST LOUIS, MO
Past

December 17, 2001 - July 5, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
ST LOUIS, MO
Past

January 11, 1999 - September 18, 2001

PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.

BD
CRD#: 40596
HARTFORD, CT
Past

January 21, 1992 - February 28, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

July 31, 1989 - December 31, 1991

CIGNA CAPITAL BROKERAGE, INC.

BD
CRD#: 21387
Past

December 3, 1986 - July 24, 1989

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

June 24, 1983 - August 26, 1986

AETNA FINANCIAL SERVICES, INC.

BD
CRD#: 13255
Past

June 19, 1983 - December 5, 1986

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/14/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/20/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/1989
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 3/10/1982
Non-Member General Securities Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/30/2008
General Securities Principal Examination

Current Firm

LI
LOCKTON INVESTMENT SECURITIES, LLC
LOCKTON FINANCIAL ADVISORS, LLC | LOCKTON INVESTMENT SECURITIES, LLC | LOCKTON INVESTMENT SECURITIES SERVICES, LLC

CRD#: 137476 / SEC#: , 8-67090

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
444 W. 47th Street Suite 900, Kansas City, MO 64112
Mailing Address
444 W. 47th Street Suite 900, Kansas City, MO 64112
Phone number
(816) 960-9000
Established
Missouri since 05/01/2016
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LOCKTON INSURANCE AGENCY, LLC DBA LOCKTON COMPANIESCORPORATE UNIT HOLDER
CLARK, SUZETTE MICHELLEPRESIDENT3153620
HAYES, SUSAN ANNFINOP, CFO2856326
LOCKTON MANAGEMENT, LLCMANAGER
PATTEN, DEIRDRE MARIANCCO1357509

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.

Company Information

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

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