James N. Anderson
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 Norris Anderson, who also goes by James Norris Anderson, Jim Anderson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 10 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2010 - September 26, 2012
REVA CAPITAL MARKETS LLC
January 8, 1997 - November 7, 1997
COUNTRYWIDE SECURITIES CORPORATION
January 29, 1996 - August 26, 1996
PORTFOLIO TRADING, LLC.
June 22, 1994 - December 1, 1995
LYN-HAYES FINANCIAL, INC.
March 15, 1994 - June 2, 1994
VIPO SECURITIES
February 10, 1994 - February 22, 1994
ROBERT THOMAS SECURITIES, INC
August 6, 1988 - April 11, 1989
EFC SPONSORS CORPORATION
February 3, 1988 - July 9, 1988
CADARET, GRANT & CO., INC.
October 19, 1987 - January 28, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
February 26, 1987 - February 17, 1988
TRANSAMERICA FINANCIAL ADVISORS, 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
REVA CAPITAL MARKETS LLC
CRD#: 105791 / SEC#: , 8-52985
Contact information
FINRA licenses (23 States and Territories)
Documents
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.
