James M. Stearns
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 Mcclure Stearns was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 3 firms and has passed the Series 63, SIE, Series 7 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
September 5, 2017 - May 8, 2019
AGES FINANCIAL SERVICES, LTD.
July 25, 1996 - January 26, 2017
ROTH CAPITAL PARTNERS, LLC
January 25, 1984 - October 4, 1994
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
