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James Hardy Wilford

CRD# 1257497·Registered 1984 - 2020
Previously Registered: Being a previously registered professional could mean that James 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.

Professional Summary

James Hardy Wilford, who also goes by Jim Wilford, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1984 - 2020. James had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Jim Wilford

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

280 SECURITIES LLC·CRD# 284939
BD
Seattle, WA
July 11, 2017 - October 5, 2020
PIPER SANDLER & CO.·CRD# 665
BD
Seattle, WA
March 28, 1994 - September 16, 2015
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
April 22, 1991 - March 23, 1994
BENAROYA SECURITIES COMPANY·CRD# 16892
BD
May 4, 1990 - November 24, 1990
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
February 27, 1989 - May 4, 1990
FOSTER & MARSHALL INC.·CRD# 321
BD
Seattle, WA
April 18, 1984 - March 4, 1989

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Current Firm

2S
280 SECURITIES LLC

280 SECURITIES LLC

CRD#: 284939 / SEC#: 8-69819
BD
Terminated by SEC on 10/04/2021

Contact Information

Established

Delaware since 06/27/2016

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
INSPEREX HOLDINGS LLCMEMBER VOTING—
AHLUWALIA, GURINDER SINGHCHIEF EXECUTIVE OFFICER4783310
HALL, HEATHER LYNCFO, PFO AND POO1921894
HSU, DAVID CHENG-WEICHIEF COMPLIANCE OFFICER4140214

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1984About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed May 1993About the Series 53 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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