James Stevens
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 Stevens, who also goes by James D Stevens, James Douglas Stevens, James Stevens, Jim Stevens, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 9 firms and has passed the Series 66, 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
September 14, 2020 - October 14, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 1, 2020 - October 13, 2022
FIDELITY BROKERAGE SERVICES LLC
March 24, 2017 - February 7, 2019
FORESIDE FUND SERVICES, LLC
October 9, 2014 - October 19, 2015
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
January 18, 2011 - November 20, 2012
INVESCO ADVISERS, INC.
June 1, 2010 - November 20, 2012
INVESCO DISTRIBUTORS, INC.
August 21, 1996 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
December 2, 1994 - July 31, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
February 23, 1988 - November 16, 1994
UBS FINANCIAL SERVICES 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
