James Robert Bayne

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

EDWARD JONES

GRAPEVINE, TX · CRD#

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

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GRAPEVINE, TX · CRD#

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

Years of Experience

37 years registered in the securities industry

Current & Past Employments

Current

ETC BROKERAGE SERVICES, LLCCurrent·CRD# 145276

BD

Three Lincoln Centre 5430 Lbj Freeway, Suite 320, Dallas, TX 75240

March 6, 2024 - Present

Past

CHARLES SCHWAB & CO., INC.Past·CRD# 5393

BD

Westlake, TX

November 18, 2022 - January 10, 2024

TD AMERITRADE, INC.Past·CRD# 7870

BD

Westlake, TX

April 2, 2015 - December 20, 2023

TD AMERITRADE CLEARING, INC.Past·CRD# 5633

BD

Westlake, TX

April 2, 2015 - December 20, 2023

ESPOSITO SECURITIES, LLCPast·CRD# 143710

BD

Dallas, TX

September 4, 2012 - March 24, 2015

PENSON FINANCIAL SERVICES, INC.Past·CRD# 25866

BD

Dallas, TX

October 6, 2010 - July 31, 2012

CAPISPast·CRD# 7551

BD

Dallas, TX

August 9, 2007 - January 4, 2010

CAPISPast·CRD# 7551

BD

Dallas, TX

June 18, 2003 - October 20, 2006

MAY FINANCIAL CORPORATIONPast·CRD# 3927

BD

Dallas, TX

October 10, 2002 - June 4, 2003

HILLTOP SECURITIES INC.Past·CRD# 6220

BD

Dallas, TX

May 19, 1999 - July 23, 2002

HILLTOP SECURITIES INC.Past·CRD# 6220

BD

Dallas, TX

March 3, 1993 - October 21, 1998

TRADESTAR INVESTMENTS,INC.Past·CRD# 14565

BD

Houston, TX

April 23, 1991 - August 5, 1992

FIRST INTERSTATE DISCOUNT BROKERAGEPast·CRD# 14371

BD

March 15, 1990 - September 25, 1990

TRADESTAR INVESTMENTS,INC.Past·CRD# 14565

BD

Houston, TX

January 24, 1989 - February 6, 1990

Similar Advisors

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

EDWARD JONES

GRAPEVINE, TX · CRD#

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

Customer Relationship Summary (CRS / FINRA)

Current Firm

EB

ETC BROKERAGE SERVICES, LLC

COLLECTIVE FINANCIAL SERVICES, LLC | ETC BROKERAGE SERVICES, LLC

CRD#: 145276 / SEC#: 8-67719

BD

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Contact Information

Main Address

5430 Lbj Freeway Suite 320, Dallas, TX 75240

Mailing Address

1 Equity Way, Westlake, OH 44145

Phone Number

(877) 403-0369

Established

Connecticut since 05/23/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
DESICH, JEFFREY ALAN	DIRECTOR	2771522
DESICH, RICHARD ANTHONY JR	DIRECTOR	2634014
AMACHER, CATHERINE COMBS	CEO	3168184
FAZEL, MUSTAFA	CHIEF COMPLIANCE OFFICER	2198857
LOUIS-CHARLES, FRITZ	COO AND POO	3232698
TRUKSHANIN, MIKHAIL	CFO, PFO	7436256
TRUKSHANIN, MIKHAIL	FINOP	7436256

Disclosures

Regulatory Event

1

Similar Advisors

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

EDWARD JONES

GRAPEVINE, TX · CRD#

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Similar Advisors

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

EDWARD JONES

GRAPEVINE, TX · CRD#

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(3/6/2024)

RR

Alaska
(3/6/2024)

RR

Arizona
(3/6/2024)

RR

Arkansas
(3/6/2024)

RR

California
(3/6/2024)

RR

Colorado
(3/6/2024)

RR

Connecticut
(3/6/2024)

RR

Delaware
(3/6/2024)

RR

District of Columbia
(3/6/2024)

RR

Florida
(3/6/2024)

RR

Georgia
(3/6/2024)

RR

Hawaii
(3/6/2024)

RR

Idaho
(3/6/2024)

RR

Illinois
(3/6/2024)

RR

Indiana
(3/6/2024)

RR

Iowa
(3/6/2024)

RR

Kansas
(3/6/2024)

RR

Kentucky
(3/6/2024)

RR

Louisiana
(3/6/2024)

RR

Maine
(3/6/2024)

RR

Maryland
(3/6/2024)

RR

Massachusetts
(3/6/2024)

RR

Michigan
(3/6/2024)

RR

Minnesota
(3/6/2024)

RR

Mississippi
(3/6/2024)

RR

Missouri
(3/6/2024)

RR

Montana
(3/6/2024)

RR

Nebraska
(3/6/2024)

RR

Nevada
(3/6/2024)

RR

New Hampshire
(3/6/2024)

RR

New Jersey
(3/6/2024)

RR

New Mexico
(3/6/2024)

RR

New York
(3/6/2024)

RR

North Carolina
(3/6/2024)

RR

North Dakota
(3/6/2024)

RR

Ohio
(3/6/2024)

RR

Oklahoma
(3/6/2024)

RR

Oregon
(3/6/2024)

RR

Pennsylvania
(3/6/2024)

RR

Puerto Rico
(2/11/2025)

RR

Rhode Island
(3/6/2024)

RR

South Carolina
(3/6/2024)

RR

South Dakota
(3/6/2024)

RR

Tennessee
(3/6/2024)

RR

Texas
(3/6/2024)

RR

Utah
(3/6/2024)

RR

Vermont
(3/6/2024)

RR

Virginia
(3/6/2024)

RR

Washington
(3/6/2024)

RR

West Virginia
(3/6/2024)

RR

Wisconsin
(3/6/2024)

RR

Wyoming
(3/6/2024)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 55 — Limited Representative-Equity Trader Exam

Passed Nov 1999

Series 7 — General Securities Representative Examination

Passed Jan 1989About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Dec 2024About the Series 53 exam

Series 4 — Registered Options Principal Examination

Passed Mar 2015About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Nov 2013About the Series 24 exam

FINRA

SRO Registrations

Similar Advisors

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

EDWARD JONES

GRAPEVINE, TX · CRD#

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view James Robert Bayne's CRS (Customer Relationship Summary).

Similar Advisors

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Farmers Branch, TX · CRD#

ORION WEALTH MANAGEMENT LLC

RICHARDSON, TX · CRD#

EDWARD JONES

GRAPEVINE, TX · CRD#

NYLIFE SECURITIES LLC

FRISCO, TX · CRD#