James F. Geiger
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 Francis Geiger, who also goes by Jim Geiger, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1988. James had worked at 10 firms and has passed the Series 63, SIE, 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
September 28, 2011 - October 21, 2014
CROWN CAPITAL SECURITIES, L.P.
November 20, 2007 - December 31, 2009
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
November 12, 2004 - November 17, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 4, 2001 - November 17, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 14, 1995 - October 5, 2001
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - January 5, 1995
CITIGROUP GLOBAL MARKETS INC.
August 31, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
June 12, 1989 - August 19, 1992
A. G. EDWARDS & SONS, INC.
October 7, 1988 - June 13, 1989
ALISON, BAER SECURITIES INC.
July 22, 1988 - October 17, 1988
ALLIED CAPITAL GROUP, INC.
July 20, 1988 - August 2, 1988
BLINDER, ROBINSON & CO., 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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
