James W. Lindsey
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 Watson Lindsey was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2011 - July 16, 2012
AVANTAX ADVISORY SERVICES
May 19, 2011 - July 16, 2012
AVANTAX INVESTMENT SERVICES, INC.
December 19, 2002 - May 24, 2011
SECURITIES AMERICA ADVISORS, INC.
August 24, 1999 - May 24, 2011
SECURITIES AMERICA, INC.
August 31, 1995 - September 3, 1999
CETERA WEALTH SERVICES, LLC
February 17, 1989 - September 8, 1995
INTERNATIONAL MONEY MANAGEMENT GROUP, 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
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
