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JH

James M. Ham

Some features on this profile are disabled
CRD#: 1865836
JH

Professional summary

James Michael Ham was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, James had worked at 9 firms, which includes FIRST INDEPENDENT ADVISORY SERVICES INC., FIRST INDEPENDENT FINANCIAL SERVICES INC., J. MICHAEL ADVISORS, LEO BROKERAGE LLC, PROFESSIONAL PARTNERS CORPORATION, CIBC WORLD MARKETS CORP., WELLS FARGO CLEARING SERVICES LLC, RAUSCHER PIERCE REFSNES INC., CITIGROUP GLOBAL MARKETS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Ham

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

September 5, 2007 - October 31, 2014

FIRST INDEPENDENT ADVISORY SERVICES, INC.

RIA
CRD#: 132678
DALLAS, TX
Past

March 22, 2006 - October 31, 2014

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

BD
CRD#: 128904
DALLAS, TX
Past

January 28, 2006 - August 3, 2007

J. MICHAEL ADVISORS

RIA
CRD#: 121087
DALLAS, TX
Past

August 12, 2005 - November 28, 2005

LEO BROKERAGE, LLC

RIA
CRD#: 109121
DALLAS, TX
Past

January 22, 2003 - December 31, 2004

J. MICHAEL ADVISORS

RIA
CRD#: 121087
DALLAS, TX
Past

May 10, 2002 - September 17, 2003

PROFESSIONAL PARTNERS CORPORATION

RIA
CRD#: 113897
BEDFORD, TX
Past

April 29, 2002 - November 28, 2005

LEO BROKERAGE, LLC

BD
CRD#: 109121
HURST, TX
Past

June 25, 1999 - April 30, 2002

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

January 24, 1997 - June 24, 1999

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 2, 1992 - January 30, 1997

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX
Past

September 20, 1988 - January 10, 1992

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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: 11/12/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/31/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/15/1996
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/17/1988
General Securities Representative Examination

Current Firm

FI
FIRST INDEPENDENT ADVISORY SERVICES, INC.
CHESTNUT STREET ADVISORS | FIRST INDEPENDENT ADVISORY SERVICES, INC.

CRD#: 132678 / SEC#:

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Contact information

Main Address
6660 S. Sheridan Rd. Suite 260, Tulsa, OK 74133-1766
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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

FIRST INDEPENDENT ADVISORY SERVICES, INC.

CRD#: 132678

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