James A. Jackson
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 Allen Jackson 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 65, Series 63, Series 7, Series 8 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2013 - December 31, 2024
OPEN RANGE RIA
February 13, 2009 - April 19, 2013
SAXONY CAPITAL MANAGEMENT, LLC
February 13, 2009 - April 19, 2013
SAXONY SECURITIES, INC.
November 30, 2006 - March 2, 2009
EDWARD JONES
May 1, 2002 - March 2, 2009
EDWARD JONES
April 12, 1999 - May 29, 2002
MORGAN STANLEY DW INC.
December 6, 1993 - April 26, 1999
UBS FINANCIAL SERVICES INC.
January 1, 1991 - January 1, 1994
BANC ONE SECURITIES CORPORATION
April 2, 1990 - November 9, 1990
VICTORIA SECURITIES CORPORATION
January 30, 1989 - November 9, 1990
VICTORIA SECURITIES CORPORATION
September 7, 1988 - February 11, 1989
ARAGON FINANCIAL SERVICES, INC.
February 24, 1987 - May 27, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
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: 12/9/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPEN RANGE RIA
CRD#: 165637 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 80 |
| AUM (Assets Under Management) | $ 18,506,970 |
Red Flags
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