James B. Ross
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 Bradley Ross was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2023 - February 1, 2024
LOCORR DISTRIBUTORS, LLC
June 26, 2023 - October 11, 2023
SELECT CAPITAL CORPORATION
December 23, 2020 - February 10, 2021
TIMBREL CAPITAL, LLC
October 24, 2019 - May 1, 2020
SELECT CAPITAL CORPORATION
November 6, 2017 - March 22, 2018
NEXBANK SECURITIES INC
May 12, 2015 - October 7, 2016
NEXBANK SECURITIES INC
November 20, 2013 - March 22, 2018
NEXPOINT SECURITIES, INC.
July 16, 2012 - December 31, 2013
NEXBANK SECURITIES INC
January 12, 2004 - July 2, 2012
IVY DISTRIBUTORS, INC.
August 4, 2003 - July 2, 2012
WADDELL & REED
March 27, 2000 - June 16, 2003
VOYA INVESTMENTS DISTRIBUTOR, LLC
October 12, 1998 - April 4, 2000
COLLIERS SECURITIES LLC
February 27, 1994 - November 18, 1996
INVESCO CAPITAL MARKETS, INC.
March 25, 1993 - April 12, 1993
GT GLOBAL, INC.
May 4, 1990 - November 19, 1992
ALLIANCEBERNSTEIN INVESTMENTS, INC.
July 11, 1988 - April 30, 1990
LEHMAN BROTHERS INC.
April 25, 1986 - May 5, 1986
SECURITIES USA, INC.
April 25, 1986 - December 13, 1988
PRUDENTIAL EQUITY GROUP, LLC
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
LOCORR DISTRIBUTORS, LLC
CRD#: 41782 / SEC#: , 8-49568
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
