James E. Linus
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 Edward Linus, CFP® was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
June 7, 2017 - November 6, 2019
ALPHASTAR CAPITAL MANAGEMENT
April 26, 2016 - May 23, 2017
ON INVESTMENT MANAGEMENT CO
May 13, 2011 - May 23, 2017
THE O.N. EQUITY SALES COMPANY
February 29, 2008 - February 8, 2010
MSI FINANCIAL SERVICES, INC.
February 15, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 15, 2007 - February 8, 2010
MSI FINANCIAL SERVICES, INC.
June 21, 2002 - October 26, 2007
NEW ENGLAND SECURITIES
May 5, 1989 - October 29, 2007
NEW ENGLAND SECURITIES
August 31, 1984 - May 22, 1989
TOWER SQUARE SECURITIES, INC.
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
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
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
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.
