James M. Webb
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 Mayford Webb III, who also goes by Jay Webb III, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2014 - May 13, 2019
BREAN CAPITAL, LLC
September 25, 2012 - August 14, 2014
RAYMOND JAMES & ASSOCIATES, INC.
April 24, 2000 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
February 14, 2000 - April 6, 2000
AMSOUTH INVESTMENT SERVICES, INC.
February 1, 1997 - February 14, 2000
INVEST FINANCIAL CORPORATION
March 26, 1996 - February 1, 1997
AMERISTAR CAPITAL MARKETS, INC.
January 1, 1991 - March 25, 1996
VINING-SPARKS IBG, LLC
August 14, 1989 - March 25, 1996
ICBA SECURITIES
March 6, 1989 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
October 4, 1988 - March 28, 1989
MORGAN KEEGAN & COMPANY, LLC
June 15, 1987 - January 1, 1991
VINING-SPARKS SECURITIES, INC.
April 29, 1987 - June 17, 1987
LAWYER-MILLS SECURITIES, 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
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | |
| ALLURED LLC | HOLDING COMPANY | |
| LIZINATOR LLC | HOLDING COMPANY | |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
| Regulatory Event | 12 |
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.
