James A. Staggs
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 Allen Staggs, who also goes by James A Staggs, Jim Staggs, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 6 firms and has passed the Series 63 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
Experience
August 24, 2000 - July 16, 2003
IMS SECURITIES, INC.
May 18, 1998 - August 1, 2000
FOX & COMPANY INVESTMENTS INC.
March 13, 1997 - June 3, 1998
SANFORD ROBERTS, INC.
February 19, 1992 - September 11, 1996
PAULSON INVESTMENT COMPANY LLC
December 8, 1989 - January 13, 1992
WILSON-DAVIS & CO., INC.
May 3, 1988 - March 27, 1989
ADAMS SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
IMS SECURITIES, INC.
CRD#: 35567 / SEC#: , 8-46722
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 6 |
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.
