James L. Paris
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 Lawrence Paris JR, who also goes by James Lawrence Paris, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1987. James had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 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, 2009 - July 23, 2012
STOCK MARKET INCOME ADVISORS, INC.
August 17, 1995 - April 4, 2002
JAMES L. PARIS SECURITIES, INC.
March 27, 1992 - May 3, 2003
JAMES L. PARIS FINANCIAL SERVICES, INC.
August 16, 1988 - August 30, 1993
PREMIERETRADE SECURITIES, INC.
May 17, 1988 - August 9, 1988
UBS FINANCIAL SERVICES INC.
August 20, 1987 - May 9, 1988
BLINDER, ROBINSON & CO., 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
STOCK MARKET INCOME ADVISORS, INC.
CRD#: 142301 / SEC#:
Contact information
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.
