James R. Davis
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 Robert Davis, who also goes by Jim Davis, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2017 - September 1, 2019
DAVIS INVESTMENT MANAGEMENT
October 14, 2016 - November 29, 2016
CHARLES SCHWAB & CO., INC.
March 24, 1987 - November 29, 2016
CHARLES SCHWAB & CO., 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
Series 8
Date: 9/13/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DAVIS INVESTMENT MANAGEMENT
CRD#: 289083 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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