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JD

James F. Dever

AMERICAN TRUST INVESTMENT SERVICES
San Clemente, CA 92672
Some features on this profile are disabled
CRD#: 1840373
JD

Professional summary

James Francis Dever is a registered financial professional currently at AMERICAN TRUST INVESTMENT SERVICES, INC. located in San Clemente, California.

James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.

top-8-questions

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) - BD

Click below to view James Francis Dever's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 7, 2024 - Present

AMERICAN TRUST INVESTMENT SERVICES, INC.

Office #1: 910 S El Camino Real #200, San Clemente, CA 92672
BD
CRD#: 3001
San Clemente, CA
Past

May 5, 2023 - May 3, 2024

DOMINARI SECURITIES LLC

BD
CRD#: 18975
NEW YORK, NY
Past

January 17, 2017 - May 12, 2023

REVERE SECURITIES LLC

BD
CRD#: 14178
BOSTON, MA
Past

January 7, 2016 - November 1, 2016

ROTHSCHILD LIEBERMAN LLC

BD
CRD#: 10030
Boston, MA
Past

October 3, 2014 - February 26, 2016

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
BOSTON, MA
Past

February 20, 2013 - October 2, 2014

BRAVER STERN SECURITIES LLC

BD
CRD#: 29108
BOSTON, MA
Past

January 4, 2013 - March 19, 2013

EQUINOX SECURITIES, INC.

BD
CRD#: 145790
REDLANDS, CA
Past

December 14, 2011 - December 31, 2012

QUINCY CASS ASSOCIATES, INCORPORATED

BD
CRD#: 686
BOSTON, MA
Past

November 25, 2009 - December 5, 2011

MOORS & CABOT, INC.

BD
CRD#: 594
BOSTON, MA
Past

September 7, 2007 - December 1, 2009

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
BOSTON, MA
Past

December 14, 2001 - August 29, 2007

OPPENHEIMER & CO. INC.

BD
CRD#: 249
BOSTON, MA
Past

February 22, 2001 - December 11, 2001

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 18, 1992 - March 5, 2001

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/9/2024)
RR
Colorado
(11/22/2024)
RR
Delaware
(5/13/2025)
RR
Florida
(1/3/2025)
RR
Illinois
(2/28/2025)
RR
Massachusetts
(5/15/2024)
RR
Nevada
(5/9/2025)
RR
New York
(5/9/2024)
RR
North Carolina
(5/15/2024)
RR
Texas
(1/3/2025)
RR
Wyoming
(2/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 3/3/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/14/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/23/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/4/1993
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

AT
AMERICAN TRUST INVESTMENT SERVICES, INC.
AMERICAN TRUST INVESTMENT SERVICES ADVISORY | PEERSON & COMPANY, INC. | PEERSON & COMPANY INVESTMENT SERVICES | AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001 / SEC#: , 8-14394

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

Main Address
910 S El Camino Real Suite 200, Whiting, IN 46394
Mailing Address
9040 Town Center Parkway, Lakewood Ranch, FL 34202
Phone number
(949) 524-2742
Established
Indiana since 12/23/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CCIG ACQUISITION COMPANY, LLCOWNER
DEVER, JAMES FRANCISCEO1840373
KESSLER, KRISTOPHER CHARLESPRESIDENT4543640
LIPPY, IAN EDWARDCHIEF OPERATING OFFICER6037326
ONESTO, RICHARD ERNESTFINANCIAL OPERATIONS PRINCIPAL2453096
SLAVINSKY, CHARLES JOSEPHCCO/MSRB/ROP2807658

Disclosures

Regulatory Event5
Arbitration1

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

AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001San Clemente, CA 92672

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