James W. Spence
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 William Spence, who also goes by Jim Spence, James Spence, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 5 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2003 - December 31, 2021
WESTWIND CAPITAL
September 10, 1999 - September 30, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 28, 1993 - September 10, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 2, 1985 - January 28, 1993
A. G. EDWARDS & SONS, INC.
September 23, 1983 - June 21, 1985
QUINN & CO., INC.
Primary Firm SEC Registration
WESTWIND CAPITAL
CRD#: 106802 / SEC#: 801-43661
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
WESTWIND CAPITAL
CRD#: 106802 / SEC#: 801-43661
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,945 |
| AUM (Assets Under Management) | $ 715,145,223 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/31/2023 |
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.
