James C. Tindell
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 Charles Tindell was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 9 firms and has passed the Series 63, Series 3, Series 7, Series 4 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
November 26, 1990 - March 8, 1991
ROBERT TODD FINANCIAL CORP.
August 9, 1989 - January 30, 1990
J F LOWE & COMPANY INCORPORATED
September 22, 1988 - July 28, 1989
VANDERBILT SECURITIES, INC.
July 1, 1988 - August 18, 1988
SHELTER ROCK SECURITIES CORP.
January 4, 1988 - July 1, 1988
GREENTREE SECURITIES CORP.
August 20, 1986 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
July 9, 1985 - August 21, 1986
NORBAY SECURITIES INC.
February 20, 1985 - June 19, 1985
THOMSON MCKINNON SECURITIES INC.
May 23, 1984 - February 15, 1985
THE STUART-JAMES COMPANY, INCORPORATED
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
ROBERT TODD FINANCIAL CORP.
CRD#: 7423 / SEC#: , 8-21716
Contact information
Documents
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.
