Stefan C. James
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.
Stefan C James, who also goes by Stefan Christopher James, Stefan James, was a registered financial professional .
Stefan is a previously registered financial professional and started their career in finance in 1995. Stefan had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 79, Series 7, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2019 - January 23, 2023
DWS DISTRIBUTORS, INC.
July 16, 2014 - February 25, 2019
DEUTSCHE BANK SECURITIES INC.
August 17, 2011 - July 2, 2014
J.P. MORGAN SECURITIES LLC
January 28, 2011 - August 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 1999 - February 22, 2002
BANC ONE CAPITAL MARKETS, INC.
March 10, 1995 - February 22, 1996
BANC ONE CAPITAL MARKETS, 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 7TO
Date: 4/10/2019
General Securities Representative ExaminationCurrent Firm
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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