James W. Geis
Professional summary
James William Geis was barred by the FINRA 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 1983. Prior to being barred, James had worked at 5 firms, which includes CROWN CAPITAL SECURITIES L.P., STANDARD INVESTMENT CHARTERED INCORPORATED, FSC SECURITIES CORPORATION, CORPORATE BENEFIT SECURITIES INC., BOARDWALK CAPITAL CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2006 - December 14, 2009
CROWN CAPITAL SECURITIES, L.P.
June 4, 2002 - December 5, 2006
STANDARD INVESTMENT CHARTERED INCORPORATED
August 16, 1995 - June 5, 2002
FSC SECURITIES CORPORATION
February 3, 1989 - August 16, 1995
CORPORATE BENEFIT SECURITIES, INC.
November 18, 1983 - December 23, 1988
BOARDWALK CAPITAL CORPORATION
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
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