James F. Huston
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 Francis Huston III, who also goes by III James Francis Huston, Jim Huston, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
December 5, 2012 - December 31, 2021
CAPITAL ANALYSTS
June 1, 2012 - December 31, 2021
LINCOLN INVESTMENT
June 1, 2012 - December 31, 2021
LINCOLN INVESTMENT
January 27, 2012 - June 1, 2012
CINCINNATI ANALYSTS, INC.
January 27, 2012 - June 1, 2012
CINCINNATI ANALYSTS, INC.
June 26, 2006 - January 30, 2012
SANDERS MORRIS LLC
October 4, 2005 - December 31, 2006
SMH CAPITAL ADVISORS LLC
January 23, 2003 - May 18, 2006
MILLER-GREEN FINANCIAL SERVICES LLC
November 21, 2001 - January 30, 2012
SANDERS MORRIS LLC
June 23, 1994 - November 21, 2001
IFG NETWORK SECURITIES, INC.
November 8, 1984 - June 23, 1994
FSC SECURITIES CORPORATION
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
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
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
