James S. Coleman
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 Stuart Coleman was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1983. James had worked at 12 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2004 - October 15, 2004
CLARK STREET CAPITAL, INC.
November 30, 1998 - June 22, 2004
WILLIAM SCOTT & CO. L.L.C.
December 3, 1996 - October 26, 1998
LT LAWRENCE & CO., INC.
October 19, 1995 - August 7, 1997
HORNBLOWER & WEEKS, INC.
May 16, 1995 - August 24, 1995
W.J. GALLAGHER & COMPANY, INC.
August 25, 1994 - April 20, 1995
FAB SECURITIES OF AMERICA, INC.
December 9, 1992 - August 23, 1994
H.J. MEYERS & CO., INC.
April 27, 1988 - November 11, 1992
D. H. BLAIR & CO., INC.
June 10, 1987 - April 21, 1988
PHILIPS, APPEL & WALDEN, INC.
September 26, 1985 - May 22, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
October 5, 1984 - September 6, 1985
D. H. BLAIR & CO., INC.
September 20, 1984 - September 21, 1984
LADENBURG THALMANN & CO. INC.
November 23, 1983 - April 4, 1984
E. F. HUTTON & COMPANY INC
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
Series 8
Date: 7/15/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CLARK STREET CAPITAL, INC.
CRD#: 38304 / SEC#: , 8-48222
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
