James F. Loomis
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 Frederick Loomis was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2015 - June 29, 2018
FORESTERS EQUITY SERVICES, INC.
January 5, 2015 - June 29, 2018
FORESTERS EQUITY SERVICES, INC.
September 4, 2009 - December 31, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 4, 2009 - December 31, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 8, 2004 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 27, 2003 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 1, 2002 - July 1, 2003
LOCUST STREET SECURITIES, INC.
August 29, 1997 - January 1, 2002
BMA FINANCIAL SERVICES, INC.
August 2, 1996 - September 2, 1997
CETERA WEALTH SERVICES, LLC
January 1, 1984 - March 6, 1990
CONSOLIDATED FINANCIAL SERVICES, 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
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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