Anthony C. St. James
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.
Anthony Christopher St. James, who also goes by Anthony C James, Chris Lopez, Anthony Christopher Stjames, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1984. Anthony had worked at 12 firms and has passed the 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
May 7, 2014 - February 11, 2019
FHN FINANCIAL SECURITIES CORP.
September 8, 2010 - May 6, 2014
BLAYLOCK VAN, LLC
January 3, 2008 - August 31, 2010
RICE FINANCIAL PRODUCTS COMPANY
March 1, 2006 - October 23, 2007
JACKSON SECURITIES LLC
June 19, 1997 - January 31, 2006
SAMUEL A. RAMIREZ & COMPANY, INC.
May 30, 1990 - January 7, 1997
CHAPMAN ON-LINE, INC
November 4, 1989 - March 8, 1990
CHARLES SCHWAB & CO., INC.
August 31, 1988 - February 7, 1989
CAPITAL BROKERAGE CORPORATION
February 15, 1988 - April 13, 1989
LEHMAN BROTHERS INC.
June 17, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
October 16, 1985 - March 26, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1984 - October 28, 1985
TRANSINTERNATIONAL SECURITIES
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
FHN FINANCIAL SECURITIES CORP.
CRD#: 46346 / SEC#: , 8-51393
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST HORIZON BANK | SHAREHOLDER | |
| BUCK, WILLIAM JAMES II | PRINCIPAL OPERATING OFFICER | 3129662 |
| DABROWSKI, MARK GERARD | CHIEF COMPLIANCE OFFICER | 2065647 |
| GRIFFIN, MARK DANIEL | SVP, RISK CONTROL MANAGER | 7462222 |
| JACKSON, JEFF BRIAN | SVP/ TRADING MANAGER | 2777631 |
| RITCHESON, DONALD ALLEN | PRINCIPAL FINANCIAL OFFICER / CFO | 2360009 |
| ROMANOW, TIMOTHY MARK | PRESIDENT/CEO | 2533445 |
| WADDELL, MICHAEL KNOX | EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY | 5657529 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
