James W. Wright
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 Wallace Wright, who also goes by Jimmie Wright, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 52, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2016 - December 27, 2016
CAPITAL INVESTMENT GROUP, INC.
January 2, 2013 - May 1, 2014
&PARTNERS
June 18, 2008 - April 5, 2011
NEXITY FINANCIAL SERVICES, INC.
April 6, 2002 - December 3, 2002
STONEX SECURITIES INC.
December 20, 1999 - April 6, 2002
INTL CUSTODY & CLEARING SOLUTIONS INC.
June 3, 1998 - December 9, 1999
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 6, 1993 - September 29, 1993
STERNE, AGEE & LEACH, INC.
November 21, 1989 - August 7, 1992
SOUTHTRUST SECURITIES, LLC
September 10, 1987 - November 20, 1989
FIRST BIRMINGHAM SECURITIES CORPORATION
April 18, 1986 - August 11, 1987
BBVA COMPASS INVESTMENT SOLUTIONS, 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
CAPITAL INVESTMENT GROUP, INC.
CRD#: 14752 / SEC#: , 8-31225
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| R.B.S.B. FAMILY TRUST | OWNER | |
| NICHOLSON, WILLIAM BATEMAN SR | SHAREHOLDER | 2585041 |
| BATTLE, RICHARD STAATS | SHAREHOLDER | 2349045 |
| BROOKS, BENJAMIN TIMOTHY III | PRESIDENT | 2206321 |
| BRYANT, RICHARD KING | CEO/TREASURER/FINOP/CO-TRUSTEE | 1069685 |
| DRESSLER, KURT ALAN | SHAREHOLDER | 2381036 |
| EDDINS, WILLIAM HAROLD JR | ASSISTANT VICE PRESIDENT | 1724993 |
| HARDEN, RONALD TODD | SHAREHOLDER | 1528810 |
| KING, RONALD LEE | CHIEF COMPLIANCE OFFICER | 2530489 |
| MCDONALD, CORNELIUS TRAWICK III | ASSISTANT VICE PRESIDENT | 1288377 |
| SADLER, SUZANNE BRYANT | CO-TRUSTEE | 6313854 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
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.
