James L. Stojak
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 Leslie Stojak 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 63, Series 7, Series 8 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
January 19, 2000 - October 25, 2001
AMSOUTH INVESTMENT SERVICES, INC.
December 15, 1998 - January 11, 2000
WELLS FARGO CLEARING SERVICES, LLC
August 3, 1998 - December 2, 1998
NATCITY INVESTMENTS, INC.
June 9, 1992 - December 2, 1998
NATCITY INSURANCE SERVICES, INC.
July 20, 1990 - March 14, 1991
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 25, 1989 - April 10, 1990
CAL FED INVESTMENTS
January 4, 1985 - April 25, 1989
EMPIRE NATIONAL SECURITIES, INCORPORATED
November 21, 1984 - December 6, 1984
VANTAGE SECURITIES OF COLORADO, 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
Series 8
Date: 3/3/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMSOUTH INVESTMENT SERVICES, INC.
CRD#: 15692 / SEC#: , 8-32565
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMSOUTH BANK | OWNER | |
| BAGBY, CANDICE WAGGENER | DIRECTOR | 2700657 |
| DANIEL, MICHAEL CURTIS | DIRECTOR | 4476150 |
| HALL, O B GRAYSON | DIRECTOR | 5059448 |
| MAYER, W CHARLES III | DIRECTOR | 2801550 |
| PARKS, KEVIN WILLIAM | PRESIDENT/CEO, CCO, FINOP, CFO | 2933659 |
| PIHERA, JIM A | DIRECTOR | 5070878 |
| SAAB, PETER THOMAS | SROP, CROP | 2058539 |
| STEPHENSON, ERNEST WINN JR | DIRECTOR | 2801549 |
| TWITTY, THOMAS BARTON | DIRECTOR | 4657089 |
Disclosures
| Regulatory Event | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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