James E. Edwards
Professional summary
James Eugene Edwards was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, James had worked at 5 firms, which includes RUSSIAN RIVER FINANCIAL SERVICES INC., FIRST ASSOCIATED SECURITIES GROUP INC., TRANSAMERICA FINANCIAL ADVISORS LLC, WOODBURY FINANCIAL SERVICES INC., MONARCH SECURITIES INC..
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Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 1997 - February 4, 1998
RUSSIAN RIVER FINANCIAL SERVICES, INC.
April 7, 1994 - December 4, 1995
FIRST ASSOCIATED SECURITIES GROUP, INC.
September 8, 1992 - March 31, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 1992 - September 16, 1992
FIRST ASSOCIATED SECURITIES GROUP, INC.
May 3, 1989 - November 19, 1991
WOODBURY FINANCIAL SERVICES, INC.
July 13, 1984 - June 27, 1987
MONARCH SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RUSSIAN RIVER FINANCIAL SERVICES, INC.
CRD#: 41794 / SEC#: , 8-49574
Contact information
Documents
Disclosures
| Civil Event | 2 |
| Arbitration | 1 |
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