James A. Weaver
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 Addison Weaver, CFP®, who also goes by James A Weaver, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1992
Experience
August 5, 2020 - June 17, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
June 17, 2020 - June 17, 2021
ALLSTATE FINANCIAL SERVICES, LLC
July 18, 2014 - January 28, 2020
PRINCIPAL SECURITIES, INC.
March 8, 2012 - June 7, 2013
SIGNATOR FINANCIAL SERVICES, INC.
October 23, 2002 - December 31, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 1, 2002 - October 25, 2002
SIGNATOR INVESTORS, INC.
January 12, 2001 - January 1, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
January 28, 1999 - June 9, 2000
PRUDENTIAL EQUITY GROUP, LLC
April 10, 1995 - August 14, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 1987 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 11, 1987 - April 6, 1995
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
