James R. Wall
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 Robert Wall JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 1998 - December 11, 2015
AUGUSTAR DISTRIBUTORS, INC.
December 1, 1997 - February 4, 1999
CAPITAL BROKERAGE CORPORATION
June 11, 1992 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
February 11, 1989 - October 22, 1991
MANULIFE WOOD LOGAN, INC.
August 25, 1986 - May 3, 1988
TRANSAMERICA CAPITAL, LLC
July 12, 1985 - October 28, 1985
THE GREAT-WEST LIFE ASSURANCE COMPANY
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
AUGUSTAR DISTRIBUTORS, INC.
CRD#: 41081 / SEC#: , 8-49296
Contact information
FINRA licenses (42 States and Territories)
Documents
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.
