James K. Ross
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 Kevin Ross, who also goes by J Kevin Ross, James Kevin Ross, Kevin Ross, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2019 - December 31, 2020
THE LEADERS GROUP, INC.
April 22, 2016 - August 9, 2019
ALLIANZ LIFE FINANCIAL SERVICES, LLC
June 20, 2001 - December 31, 2001
USALLIANZ SECURITIES, INC.
August 8, 2000 - November 29, 2000
COLLINS STEWART (SECURITIES) INC.
September 1, 1999 - August 16, 2000
RAYMOND JAMES & ASSOCIATES, INC.
May 3, 1994 - September 21, 1999
MIZUHO SECURITIES USA LLC
April 18, 1990 - February 17, 1993
TRUIST SECURITIES, INC.
April 7, 1988 - December 6, 1989
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
September 24, 1987 - October 31, 1988
WESTPAC POLLOCK & 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
Series 6TO
Date: 1/26/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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