James H. Sears
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 Houston Sears, who also goes by James H Sears, James Huston Sears, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 4 firms and has passed the Series 65, Series 63 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
Experience
June 8, 2018 - November 15, 2019
AE WEALTH MANAGEMENT, LLC
June 4, 2018 - June 7, 2018
AE WEALTH MANAGEMENT, LLC
June 23, 2010 - June 5, 2018
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
April 10, 2000 - September 12, 2000
INTERFIRST CAPITAL CORPORATION
March 6, 2000 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
Primary Firm SEC Registration
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
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
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
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.
