James W. Sibson
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 William Sibson, CFP®, CLU®, who also goes by Jim Sibson, 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 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1990
Experience
May 6, 2021 - October 20, 2022
SECURITIES AMERICA, INC.
June 27, 2016 - December 16, 2019
COREBRIDGE CAPITAL SERVICES, INC.
May 11, 2016 - June 29, 2016
KESTRA INVESTMENT SERVICES, LLC
March 1, 2016 - June 29, 2016
KESTRA INVESTMENT SERVICES, LLC
March 4, 2009 - October 2, 2015
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
May 2, 2008 - February 11, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
November 9, 2007 - May 5, 2008
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - May 5, 2008
VOYA FINANCIAL ADVISORS, INC.
August 18, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
March 21, 2001 - July 2, 2003
MUTUAL TRUST COMPANY OF AMERICA SECURITIES
March 9, 1998 - February 7, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
December 6, 1995 - January 22, 1998
JOHN HANCOCK DISTRIBUTORS LLC
September 21, 1990 - October 31, 1995
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 24, 1987 - August 22, 1990
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
