Bill L. James
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.
Bill Lee James JR was a registered financial professional .
Bill is a previously registered financial professional and started their career in finance in 1988. Bill had worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 1999 - July 6, 2026
LOOP CAPITAL MARKETS LLC
May 27, 1997 - May 19, 1999
FIRST TRUST PORTFOLIOS L.P.
January 23, 1989 - April 26, 1996
BANC ONE CAPITAL MARKETS, INC.
September 20, 1988 - October 28, 1988
WINGSPAN INVESTMENT SERVICES
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
LOOP CAPITAL MARKETS LLC
CRD#: 43098 / SEC#: , 8-50140
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 8 |
Red Flags
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