James L. Demers
Professional summary
James Lowell Demers was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, James had worked at 19 firms, which includes LINCOLN FUND ADVISORS LLC, ZECCO TRADING INC., KUHNS BROTHERS SECURITIES CORPORATION, CENTAURUS FINANCIAL INC., AMERICAN PACIFIC SECURITIES INC., FAS WEALTH MANAGEMENT SERVICES INC., SPECTRUM SECURITIES INC., FINANCE 500 INC., QUEST CAPITAL STRATEGIES INC., BUTTONWOOD SECURITIES INC., BROOKSTREET SECURITIES CORPORATION, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, TRADEWAY SECURITIES GROUP INC., GLOBALVEST SECURITIES (USA) INC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, SWANBROOK FINANCIAL SERVICES INCORPORATED, LIBERTY CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2006 - September 12, 2007
LINCOLN FUND ADVISORS, LLC
November 13, 2006 - April 9, 2007
ZECCO TRADING, INC.
February 15, 2002 - November 15, 2004
KUHNS BROTHERS SECURITIES CORPORATION
June 29, 2000 - April 2, 2001
CENTAURUS FINANCIAL, INC.
April 6, 2000 - May 31, 2000
AMERICAN PACIFIC SECURITIES, INC.
April 26, 1999 - April 24, 2000
FAS WEALTH MANAGEMENT SERVICES, INC.
August 31, 1998 - January 29, 1999
SPECTRUM SECURITIES, INC.
August 28, 1996 - August 25, 1998
FINANCE 500, INC.
August 18, 1995 - December 16, 1995
QUEST CAPITAL STRATEGIES, INC.
June 27, 1995 - August 11, 1995
BUTTONWOOD SECURITIES, INC.
June 30, 1993 - August 25, 1994
BROOKSTREET SECURITIES CORPORATION
April 6, 1993 - April 12, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 6, 1993 - April 12, 1993
EQUITABLE ADVISORS, LLC
October 5, 1992 - February 23, 1993
TRADEWAY SECURITIES GROUP, INC.
April 10, 1991 - May 5, 1992
GLOBALVEST SECURITIES, (USA), INC
October 9, 1989 - December 24, 1990
IDS LIFE INSURANCE COMPANY
October 9, 1989 - December 24, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 1988 - September 12, 1988
SWANBROOK FINANCIAL SERVICES INCORPORATED
May 27, 1987 - September 17, 1988
LIBERTY CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
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