James H. Stanley
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 Harvey Stanley JR, who also goes by James Harvey Stanley, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1987. James had worked at 9 firms and has passed the Series 65, Series 63, 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
June 20, 2006 - December 31, 2013
UPPER QUADRANTS CAPITAL MANAGEMENT, LLC
November 6, 2002 - July 16, 2004
NEW ENGLAND SECURITIES
June 2, 1999 - October 30, 2002
THE HUNTINGTON INVESTMENT COMPANY
January 4, 1999 - June 24, 1999
IBS SECURITIES, LLC
October 10, 1995 - January 4, 1999
SII INVESTMENTS, INC.
October 19, 1993 - October 16, 1995
WELLINGTON INVESTMENT SERVICES CORP.
October 12, 1989 - June 3, 1992
CITIGROUP GLOBAL MARKETS INC.
March 25, 1988 - October 7, 1989
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 30, 1987 - March 10, 1988
SHERWOOD CAPITAL, 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
UPPER QUADRANTS CAPITAL MANAGEMENT, LLC
CRD#: 129929 / SEC#: 801-63701
Contact information
Red Flags
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