James G. Meyers
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 George Meyers, who also goes by James G Meyers, Jim Meyers, James George Meyers, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 7 firms and has passed the Series 63, Series 99TO, 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
January 8, 2024 - November 4, 2025
AXOS CLEARING LLC
March 1, 2023 - January 13, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
January 18, 2023 - January 13, 2024
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
May 18, 2018 - August 1, 2022
SECURITIES AMERICA, INC.
August 26, 2016 - May 16, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
November 12, 2010 - May 16, 2018
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
April 20, 1998 - November 9, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 23, 1994 - July 13, 1998
RBC CAPITAL MARKETS, LLC
January 6, 1993 - June 24, 1994
FIRST OF MICHIGAN CORPORATION
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AXOS CLEARING LLC
CRD#: 117176 / SEC#: , 8-53595
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AXOS SECURITIES, LLC | SOLE OWNER | |
| CROW, DAVID MICHAEL | PRESIDENT, AXOS CLEARING, LLC | 4370102 |
| FAUCHER, KATHY NOEL | AML OFFICER | 6323326 |
| GREEN, HOWARD MICHAEL | CHIEF FINANCIAL OFFICER | 2535812 |
| KINSELLA, SHAWN ROBERT | CHIEF COMPLIANCE OFFICER | 5793966 |
| PLUMMER, JEFFREY KENT | PRINCIPAL OPERATIONS OFFICER | 4576783 |
| SHIRMANG, STEPHEN LOWELL | CHIEF OPERATIONS OFFICER | 3083416 |
Disclosures
| Regulatory Event | 13 |
Red Flags
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