James S. Farnell
Professional summary
James Strain Farnell was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, James had worked at 11 firms, which includes IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, EURO-ATLANTIC SECURITIES INC., SECURIAN FINANCIAL SERVICES INC., WALNUT STREET SECURITIES INC., WS GRIFFITH SECURITIES INC., HOME LIFE INSURANCE COMPANY, MUTUAL SERVICE CORPORATION, LOWRY FINANCIAL SERVICES CORPORATION, FOCUS SECURITIES INC., FITZGERALD DEARMAN & ROBERTS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 1996 - November 4, 1996
IDS LIFE INSURANCE COMPANY
July 24, 1996 - November 4, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
June 13, 1994 - March 27, 1996
EURO-ATLANTIC SECURITIES INC.
December 2, 1993 - April 5, 1994
SECURIAN FINANCIAL SERVICES, INC.
November 24, 1992 - March 31, 1993
WALNUT STREET SECURITIES, INC.
April 3, 1990 - September 17, 1991
WS GRIFFITH SECURITIES, INC.
April 3, 1990 - September 17, 1991
HOME LIFE INSURANCE COMPANY
March 31, 1989 - February 20, 1990
MUTUAL SERVICE CORPORATION
August 4, 1988 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
March 15, 1988 - August 12, 1988
FOCUS SECURITIES, INC.
September 11, 1987 - February 8, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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