James M. Nava
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 Martin Nava, who also goes by James Nava, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 7 firms and has passed the Series 66, Series 65, Series 63 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
October 4, 2013 - February 19, 2014
LAWSON FINANCIAL CORPORATION
January 23, 2013 - May 20, 2013
MORGAN STANLEY
December 7, 2012 - May 20, 2013
MORGAN STANLEY
August 10, 1998 - September 22, 2000
MORGAN STANLEY DW INC.
December 10, 1996 - April 3, 1997
PRUDENTIAL EQUITY GROUP, LLC
March 28, 1996 - December 12, 1996
KEY INVESTMENTS INC.
January 28, 1995 - April 3, 1996
UBS FINANCIAL SERVICES INC.
August 27, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LAWSON FINANCIAL CORPORATION
CRD#: 15261 / SEC#: , 8-32099
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 7 |
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.
