James E. Ady
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 Edward Ady, who also goes by Jim Ady, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1966. James had worked at 16 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2000 - April 1, 2002
FREEDOM FINANCIAL, INC.
October 12, 1998 - May 26, 1999
METROPOLITAN INVESTMENT SECURITIES, INC.
November 16, 1994 - October 18, 1996
SIGNATOR FINANCIAL SERVICES, INC.
July 15, 1991 - November 14, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 2, 1991 - July 15, 1991
FEDERATION FOR FINANCIAL INDEPENDENCE
October 29, 1990 - October 23, 1991
AMERICAN CAPITAL CORPORATION
October 28, 1987 - November 7, 1989
SECURITY DISTRIBUTORS
June 25, 1986 - September 13, 1991
FIRST AMERICA EQUITIES CORP.
October 14, 1985 - October 14, 1987
SBL PLANNING, INC.
July 22, 1984 - December 19, 1985
BOARDWALK CAPITAL CORPORATION
April 16, 1981 - October 4, 1982
TITAN/VALUE EQUITIES GROUP, INC.
January 9, 1980 - April 1, 1981
WORLD CAPITAL BROKERAGE, INC.
May 10, 1974 - February 21, 1979
SOUTHMARK FINANCIAL SERVICES, INC.
August 10, 1972 - May 24, 1975
CAPITAL PLANNING SECURITIES COMPANY, INC.
December 22, 1971 - February 28, 1972
PIEDMONT CAPITAL CORPORATION
July 28, 1966 - December 31, 1971
CAPITAL SECURITIES CO
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 1
Date: 7/26/1966
Registered Representative ExaminationSeries 00
Date: 6/23/1970
General Securities Principal ExaminationCurrent Firm
FREEDOM FINANCIAL, INC.
CRD#: 45850 / SEC#: , 8-51211
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
