James S. Gates
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 Stephen Gates was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 11 firms and has passed the Series 63, Series 22, Series 3, Series 6 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2005 - November 7, 2005
AMERICAN LANDMARK SECURITIES, INC.
October 16, 2003 - March 2, 2004
REDWOOD TRADING, LLC
September 5, 1989 - September 14, 1989
ALLISON, ROSENBLUM & HANNAHS, INC.
July 12, 1989 - August 22, 1989
APPLE SECURITIES, INC.
March 28, 1989 - June 17, 1989
TITAN/VALUE EQUITIES GROUP, INC.
April 29, 1988 - February 22, 1989
U.S. ASSOCIATES, INC.
March 25, 1988 - April 21, 1988
L.A. BOYKIN & ASSOCIATES, INC.
January 20, 1988 - March 8, 1988
SOUTHERN SECURITIES INVESTMENT BANKERS, INC.
May 13, 1987 - November 16, 1987
ADVANTAGE CAPITAL CORPORATION
December 12, 1986 - April 21, 1987
GENERAL FINANCIAL SERVICES, INC.
September 17, 1986 - November 17, 1986
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
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
AMERICAN LANDMARK SECURITIES, INC.
CRD#: 42187 / SEC#: , 8-49741
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARTHOLOMAE, EDWARD ERNEST | CHAIRMAN, SECRETARY, CCO, PRESIDENT | 2222399 |
| MCNAIR, LAJOICE | TREASURER |
Disclosures
| Regulatory Event | 1 |
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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