James S. Freeman
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 Stanley Freeman, who also goes by Jim Freeman, 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 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 1999 - October 3, 2001
RUSSIAN RIVER FINANCIAL SERVICES, INC.
February 5, 1998 - February 4, 1999
PLANMEMBER SECURITIES CORPORATION
December 15, 1992 - February 2, 1998
WOODBURY FINANCIAL SERVICES, INC.
March 12, 1992 - December 21, 1992
NORTH AMERICAN MANAGEMENT, INC.
October 23, 1991 - April 29, 1992
AMERICAN CLASSIC SECURITIES, INC.
February 28, 1991 - October 14, 1991
NORTH AMERICAN MANAGEMENT, INC.
September 16, 1985 - February 12, 1991
PFS INVESTMENTS 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
Current Firm
RUSSIAN RIVER FINANCIAL SERVICES, INC.
CRD#: 41794 / SEC#: , 8-49574
Contact information
Documents
Disclosures
| Civil Event | 2 |
| 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.
