James R. Bell
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 Robert Bell, who also goes by Jim Bell, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 10 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2017 - July 24, 2019
CV BROKERAGE, INC
June 21, 2013 - April 2, 2015
SPEEDROUTE LLC
May 26, 2010 - August 19, 2011
TD AMERITRADE, INC.
February 4, 2004 - May 26, 2010
BELLEVUE CHICAGO, LLC
August 22, 2002 - January 8, 2003
NAVILLUS SECURITIES, INC.
May 10, 1994 - May 28, 1997
JANNEY MONTGOMERY SCOTT LLC
February 5, 1992 - May 26, 1994
FIRST INTERREGIONAL EQUITY CORP.
April 14, 1989 - February 5, 1992
MORGAN STANLEY DW INC.
March 1, 1989 - March 23, 1989
MARSHALL DAVIS, INC.
February 14, 1989 - March 10, 1989
INVESTORS CENTER, 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
Series 55
Date: 9/12/2002
Limited Representative-Equity Trader ExamCurrent Firm
CV BROKERAGE, INC
CRD#: 462 / SEC#: , 8-12429
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
Red Flags
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