James E. Dalton
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 Edward Dalton, who also goes by Ed Dalton Sr, Ed Dalton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2000 - December 31, 2011
NEXT FINANCIAL GROUP, INC.
December 22, 1995 - December 31, 1999
SUNAMERICA SECURITIES, INC.
September 13, 1993 - December 7, 1995
INVESTORS SECURITY COMPANY, INC.
July 27, 1992 - August 24, 1993
AMERICAN CLASSIC SECURITIES, INC.
January 22, 1992 - May 7, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 16, 1990 - December 31, 1991
NORTH AMERICAN MANAGEMENT, INC.
December 15, 1986 - June 28, 1990
PFS INVESTMENTS 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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
