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JP

James L. Phelps

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CRD#: 1725995
JP

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 Lee Phelps was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 1987. James had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 18, 2011 - July 29, 2011

R.M. STARK & CO., INC.

BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past

July 22, 2009 - March 10, 2010

NFSG CORPORATION

RIA
CRD#: 130814
BOCA RATON, FL
Past

September 13, 2000 - March 10, 2010

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
FT. LAUDERDALE, FL
Past

April 20, 2000 - September 27, 2000

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

December 13, 1999 - May 24, 2000

LIVINGSTON MONROE CAPITAL GROUP INC.

BD
CRD#: 31228
BOCA RATON, FL
Past

July 21, 1993 - April 8, 1998

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL
Past

January 14, 1992 - October 9, 1992

PARAGON CAPITAL MARKETS, INC.

BD
CRD#: 18555
EAST HANOVER, NJ
Past

September 24, 1987 - February 7, 1992

J. W. GANT & ASSOCIATES, INC.

BD
CRD#: 7963

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/19/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/30/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 4/12/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/28/2000
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/27/1997
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/3/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/2/1989
General Securities Principal Examination

Current Firm

RS
R.M. STARK & CO., INC.
R.M. STARK & CO., INC. | RM STARK & CO INC.

CRD#: 7612 / SEC#: , 8-22543

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Mailing Address
730 S Federal Hwy, Lake Worth Beach, FL 33460-4955
Phone number
(561) 243-3815
Established
Florida since 09/29/1988
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RMST HOLDING COMPANY, INC.OWNER
MCTAGUE, ROBIN JAYNECHIEF COMPLIANCE OFFICER1438670
STARK, GARY LESTERCEO433866
STARK, GARY LESTERFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, MUNICIPAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL433866

Disclosures

Regulatory Event4

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.

Company Information

R.M. STARK & CO., INC.

CRD#: 7612

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