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JA

James R. Alworth

MIDLAND SECURITIES, LTD
Montclair, NJ 07042
Some features on this profile are disabled
CRD#: 1629135
JA

Professional summary

James Richard Alworth, who also goes by James R Alworth, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James R Alworth

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Richard Alworth's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 4, 2015 - Present

MIDLAND SECURITIES, LTD

Office #1: 21 Church Street 2nd Floor, Montclair, NJ 07042
BD
CRD#: 23736
Montclair, NJ
Past

May 31, 2013 - February 9, 2015

NATALLIANCE SECURITIES, LLC

BD
CRD#: 39455
NEWARK, NJ
Past

July 2, 2012 - May 17, 2013

AXOS CLEARING LLC

BD
CRD#: 117176
EDISON, NJ
Past

March 30, 2012 - July 2, 2012

BNY MELLON CAPITAL MARKETS, LLC

BD
CRD#: 17454
NEW YORK, NY
Past

September 9, 2005 - April 3, 2012

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

November 17, 2004 - September 9, 2005

PERSHING ADVISOR SOLUTIONS LLC

BD
CRD#: 36671
JERSEY CITY, NJ
Past

March 25, 2002 - November 15, 2004

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

May 18, 2000 - February 5, 2002

HARRISDIRECT LLC

BD
CRD#: 42159
JERSEY CITY, NJ
Past

December 9, 1996 - May 5, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

October 25, 1994 - November 5, 1996

MURIEL SIEBERT & CO., LLC

BD
CRD#: 5376
NEW YORK, NY
Past

October 13, 1992 - October 14, 1994

HIGHLANDER CAPITAL GROUP, INC.

BD
CRD#: 19074
SHORT HILLS, NJ
Past

October 6, 1992 - October 6, 1992

FIRST FIDELITY BROKERS, INC.

BD
CRD#: 15225
NEWARK, NJ
Past

March 17, 1989 - June 6, 1989

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 17, 1989 - June 6, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

December 22, 1987 - January 16, 1989

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(3/4/2015)
RR
Pennsylvania
(7/31/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/18/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/19/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/21/2001
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MIDLAND SECURITIES, LTD
ANDERSON, CHENEVIERE & CO., LTD | WELLER, ANDERSON, CHENEVIERE & CO., LTD. | WELLER, ANDERSON & CO., LTD. | MIDLAND SECURITIES, LTD

CRD#: 23736 / SEC#: , 8-40685

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1605 Lbj Freeway Suite 710, Dallas, TX 75234
Mailing Address
1605 Lbj Freeway Suite 710, Dallas, TX 75234
Phone number
(469) 522-4309
Established
Texas since 06/11/1985
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AMERICAN RESERVE SERVICE CORPORATIONLIMITED PARNER
ALWORTH, JAMES RICHARDBRANCH MANAGER1629135
ARS WINDCHASE, INC.GENERAL PARTNER
PHILLIPS, BRADFORD ASHLEYCEO/FINOP/CCO1730426

Disclosures

Regulatory Event3

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.

Company Information

MIDLAND SECURITIES, LTD

CRD#: 23736Montclair, NJ 07042

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