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JA

James S. Adams

Some features on this profile are disabled
CRD#: 1186331
JA

Professional summary

James Stephen Adams was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, James had worked at 8 firms, which includes CONSECO SECURITIES INC., CONSECO FINANCIAL SERVICES INC., CONSECO EQUITY SALES INC., EFC SPONSORS CORPORATION, CADARET GRANT & CO. INC., FIRSTMARK SECURITIES INC., FIRSTMARK INVESTOR SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James S Lucas

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

August 5, 1998 - August 9, 2002

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

October 31, 1996 - August 5, 1998

CONSECO FINANCIAL SERVICES, INC.

BD
CRD#: 629
CARMEL, IN
Past

October 9, 1990 - July 31, 1991

CONSECO SECURITIES, INC.

BD
CRD#: 25594
Past

September 4, 1990 - November 13, 2002

CONSECO EQUITY SALES, INC.

BD
CRD#: 4125
CARMEL, IN
Past

July 27, 1988 - October 24, 1989

EFC SPONSORS CORPORATION

BD
CRD#: 5210
Past

August 14, 1987 - July 9, 1988

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
Past

May 8, 1984 - February 8, 1986

FIRSTMARK SECURITIES, INC.

BD
CRD#: 13184
Past

March 22, 1984 - September 4, 1986

FIRSTMARK INVESTOR SERVICES, INC.

BD
CRD#: 13857

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
Series 63
Date: 1/16/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/17/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/19/1988
Financial and Operations Principal Examination

Current Firm

CS
CONSECO SECURITIES, INC.
CONSECO FINANCIAL SERVICES, INC. | MDS SECURITIES, A DIVISION OF CONSECO SECURITIES, INC. | MDS SECURITIES INCORPORATED | CONSECO SECURITIES, INC.

CRD#: 29367 / SEC#: , 8-44287

BD
Terminated by SEC on 09/29/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/21/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CONSECO INTERIM HOLDINGS CORPORATION (CIHC)SHAREHOLDER
BARRA, DAVID JOSEPHSENIOR VICE PRESIDENT/FINANCIAL & OPERATIONS PRINCIPAL4399587
CULLEMFIORE, MARGARET ANNVICE PRESIDENT, ASSOCIATE GENERAL COUNSEL & ASSISTANT SECRETARY/CHIEF COMPLIANCE OFFICER703791

Disclosures

Regulatory Event1

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

CONSECO SECURITIES, INC.

CRD#: 29367

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