James W. Neville
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 Walter Neville JR, who also goes by Jr James Walter Nevile, Jim Neville, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 1 firm and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 1997 - April 9, 1997
VINING-SPARKS IBG, LLC
State Registrations and Notice Filings
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Exams
Current Firm
VINING-SPARKS IBG, LLC
CRD#: 27502 / SEC#: , 8-43150
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 8 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
