James Crosson
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 Crosson was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 16 firms and has passed the Series 63, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2012 - December 21, 2012
GRACE FINANCIAL GROUP LLC
January 7, 2009 - March 24, 2010
SAMUEL A. RAMIREZ & COMPANY, INC.
July 28, 2008 - August 18, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
July 27, 2007 - April 16, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 3, 2006 - August 1, 2007
HUDSON SECURITIES,INC.
May 2, 2005 - January 18, 2006
TRADITION SECURITIES AND DERIVATIVES LLC
March 2, 2004 - September 22, 2004
LABRANCHE FINANCIAL SERVICES, LLC
February 19, 2004 - October 6, 2004
WILSON (JR), JOHN E
September 5, 2002 - March 1, 2004
SEABOARD SECURITIES, INC.
August 20, 2002 - August 22, 2002
VISION SECURITIES INC.
November 20, 1998 - June 26, 2002
HERZOG, HEINE, GEDULD, LLC
July 27, 1995 - November 10, 1998
UBS CAPITAL MARKETS L.P.
February 16, 1995 - May 24, 1995
HUDSON SECURITIES,INC.
August 24, 1992 - February 8, 1995
UBS CAPITAL MARKETS L.P.
February 24, 1989 - September 2, 1992
CHARLES SCHWAB & CO., INC.
October 13, 1988 - February 21, 1989
TD AMERITRADE, INC.
April 19, 1988 - May 26, 1988
GREENTREE SECURITIES CORP.
October 20, 1986 - July 15, 1988
BNY MELLON SECURITIES 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 55
Date: 3/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
GRACE FINANCIAL GROUP LLC
CRD#: 104133 / SEC#: , 8-52606
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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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