James C. Roumell
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 Christopher Roumell, who also goes by Jim Roumell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 5 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
January 22, 2003 - December 6, 2024
ROUMELL ASSET MANAGEMENT, LLC
March 11, 1999 - October 27, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - October 27, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 22, 1992 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
April 24, 1992 - May 29, 1992
IFG NETWORK SECURITIES, INC.
February 26, 1987 - May 21, 1992
DERAND/PENNINGTON/BASS, 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
ROUMELL ASSET MANAGEMENT, LLC
CRD#: 114057 / SEC#: 801-60837
Contact information
Regulatory assets under management
| Total Number of Accounts | 61 |
| AUM (Assets Under Management) | $ 95,392,848 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/18/2024 | ||
| 01/19/2023 | ||
| 02/02/2022 |
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.
