James Richard Alworth
Professional Summary
James Richard Alworth, who also goes by James R Alworth, is a registered financial advisor currently at MIDLAND SECURITIES, LTD located in Montclair, New Jersey. James is registered as a RR (Registered Representative) and started their career in finance in 1987. James has worked at 15 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James R Alworth
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
ANDERSON, CHENEVIERE & CO., LTD | WELLER, ANDERSON, CHENEVIERE & CO., LTD. | WELLER, ANDERSON & CO., LTD. | MIDLAND SECURITIES, LTD
Contact Information
Main Address
1605 Lbj Freeway Suite 710, Dallas, TX 75234Mailing Address
1605 Lbj Freeway Suite 710, Dallas, TX 75234Phone Number
(469) 522-4309Established
Texas since 06/11/1985Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (8 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(3/4/2015)
(7/31/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Richard Alworth's CRS (Customer Relationship Summary).
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