James H. Reed
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 Harold Reed was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2020 - October 29, 2021
CROWN CAPITAL SECURITIES, L.P.
January 12, 2010 - December 7, 2020
AVANTAX INVESTMENT SERVICES, INC.
February 24, 2003 - December 31, 2009
PACIFIC WEST SECURITIES, INC.
November 30, 1998 - March 4, 2003
SENTRA SECURITIES CORPORATION
November 16, 1998 - March 4, 2003
SENTRA SECURITIES CORPORATION
February 8, 1995 - November 16, 1998
UNITED PACIFIC SECURITIES, INC.
December 1, 1993 - February 13, 1995
CONSOLIDATED INVESTMENT SERVICES, INC.
August 21, 1985 - November 12, 1993
TRIPLE CHECK FINANCIAL 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
