James H. Thomas

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CRD#: 1158204

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 Henry Thomas was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1983. James had worked at 2 firms and has passed the Series 63 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

September 7, 1983 - June 17, 1986

FIRST ALLIANCE FINANCIAL SERVICES, INC.

CRD#: 7161

Past

July 8, 1983 - September 2, 1983

INVESTORS ASSET MANAGEMENT, INC.

CRD#: 7968

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

Series 63

Date: 10/4/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 6/27/1983

Direct Participation Programs Representative Examination

Current Firm

FIRST ALLIANCE FINANCIAL SERVICES, INC.

FIRST ALLIANCE FINANCIAL SERVICES, INC. | MCNEISH, DE LOREY, INC.

CRD#: 7161 / SEC#: , 8-20489

Expelled by FINRA on 05/02/1989

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Contact information

Main Address

Mailing Address

Phone number

Established

Massachusetts since 02/17/1976

Firm type

Corporation

Fiscal year end

# of Employees

Documents

Red Flags

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James H. Thomas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIANCE FINANCIAL SERVICES, INC.

INVESTORS ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/4/1983

Series 22

Date: 6/27/1983

Current Firm

FIRST ALLIANCE FINANCIAL SERVICES, INC.

Contact information

Documents

Red Flags

Company Information

FIRST ALLIANCE FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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