James A. Collins
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 Albert Collins JR, who also goes by Jim Collins Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 3 firms and has passed the Series 63, SIE 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
December 31, 2001 - June 30, 2020
THREE MAGNOLIAS FINANCIAL ADVISORS
May 9, 2001 - July 7, 2020
CETERA WEALTH SERVICES, LLC
June 25, 1997 - April 27, 2001
IFG NETWORK SECURITIES, INC.
Primary Firm SEC Registration
THREE MAGNOLIAS FINANCIAL ADVISORS
CRD#: 114471 / SEC#: 801-60460
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
THREE MAGNOLIAS FINANCIAL ADVISORS
CRD#: 114471 / SEC#: 801-60460
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,471 |
| AUM (Assets Under Management) | $ 414,201,000 |
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.
