James M. Roland
Professional summary
James Mervin Roland, who also goes by Merv Roland, is a registered financial professional currently at CAPITAL CITY SECURITIES, LLC located in Powell, Ohio.
James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Mervin Roland's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2009 - Present
CAPITAL CITY SECURITIES, LLC
Office #1: 3789 Attucks Dr, Powell, OH 43065January 17, 2006 - October 27, 2009
GUNNALLEN FINANCIAL, INC
May 2, 2000 - October 27, 2009
GUNNALLEN FINANCIAL, INC
January 11, 1999 - May 2, 2000
MPI FINANCIAL
June 25, 1998 - December 23, 1998
SIERRA BROKERAGE SERVICES, INC.
January 2, 1997 - May 15, 1998
QUANTUM CAPITAL CORPORATION
April 12, 1995 - January 27, 1997
THE HAMILTON-SHEA GROUP, INC.
October 10, 1994 - April 5, 1995
OMNI FINANCIAL SECURITIES, INC.
June 8, 1993 - July 5, 1994
FINANCIAL HORIZONS DISCOUNT BROKERAGE, INC.
August 22, 1989 - August 8, 1991
OMNI CAPITAL MARKETS, INCORPORATED
January 26, 1989 - August 28, 1989
FREEDOM FIRST SECURITIES, 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
(1/19/2018)
(10/20/2009)
(3/6/2014)
(2/27/2025)
(10/20/2009)
(6/28/2023)
Exams
FINRA
Current Firm
CAPITAL CITY SECURITIES, LLC
CRD#: 146001 / SEC#: , 8-67771
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL CITY PARTNERS, INC. | OWNER/MANAGING MEMBER | |
| CRAWFORD, TODD EDWARD | CCO | 1951009 |
| CRAWFORD, TODD EDWARD | PRESIDENT | 1951009 |
| ROLAND, JAMES MERVIN | V. P. COMPLIANCE AND OPERATIONS | 1871181 |
| ROLAND, JAMES MERVIN | OPTIONS PRINCIPAL | 1871181 |
| TOMASELLO, JAC GERARD | MP | 1749835 |
| TOMASELLO, JAC GERARD | GENERAL PRINCIPAL | 1749835 |
| TOMASELLO, JAC GERARD | FIN OP | 1749835 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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