James R. Thomas
Professional summary
James Richard Thomas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, James had worked at 7 firms, which includes J K R & COMPANY INC., WELLS FARGO CLEARING SERVICES LLC, DAIN RAUSCHER INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, UBS FINANCIAL SERVICES INC., LEHMAN BROTHERS INC., TRANSAMERICA CAPITAL LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2002 - June 2, 2008
J K R & COMPANY, INC.
November 20, 1996 - January 14, 2002
WELLS FARGO CLEARING SERVICES, LLC
February 26, 1993 - November 15, 1996
DAIN RAUSCHER INCORPORATED
March 2, 1992 - March 3, 1993
PRUDENTIAL EQUITY GROUP, LLC
December 13, 1990 - March 5, 1992
UBS FINANCIAL SERVICES INC.
January 11, 1990 - January 7, 1991
LEHMAN BROTHERS INC.
August 5, 1987 - October 17, 1988
TRANSAMERICA CAPITAL, LLC
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
Series 8
Date: 6/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
J K R & COMPANY, INC.
CRD#: 8040 / SEC#: , 8-24191
Contact information
FINRA licenses (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 213 |
| AUM (Assets Under Management) | $ 113,298,848 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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