James Z. Stone
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 Zardus Stone, who also goes by Jim Stone, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 10 firms and has passed the Series 63, 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
February 24, 2012 - December 19, 2016
MAINSTREET ADVISORS, INC.
July 13, 2006 - December 10, 2009
MAINSTREET ADVISORS
March 31, 1999 - December 31, 1999
MUTUAL SERVICE CORPORATION
March 10, 1997 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
May 3, 1993 - January 24, 1997
OSAIC WEALTH, INC.
March 12, 1991 - May 5, 1993
CONSOLIDATED INVESTMENT SERVICES, INC.
August 16, 1989 - December 3, 1991
RIVERFRONT FINANCIAL SERVICES, INC.
August 21, 1987 - May 31, 1989
MALONE & ASSOCIATES, INC.
April 14, 1987 - December 14, 1987
O. R. SECURITIES, INC.
June 5, 1985 - May 6, 1987
OSAIC FS, INC.
May 25, 1984 - April 10, 1985
CONSOLIDATED INVESTMENT 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
MAINSTREET ADVISORS, INC.
CRD#: 159673 / SEC#:
Contact information
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.
