James N. Augustine

FHN FINANCIAL SECURITIES

Memphis, TN 38120

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CRD#: 1960045

Professional summary

James Neal Augustine JR, who also goes by James Neal (jr) Augustine, Jamie Augustine Jr, is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Memphis, Tennessee.

James is registered as a RR (Registered Representative) and started their career in finance in 1989. James has worked at 7 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 10, Series 9 and Series 24 exams.

Question & Answer

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Aliases

James Neal (jr) Augustine | Jamie Augustine Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Neal Augustine JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 18, 2015 - Present

FHN FINANCIAL SECURITIES CORP.

Office #1: 1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120Office #2: 900 S. Shackleford, Suite 300, Little Rock, AR 72211

CRD#: 46346

Memphis, TN

Past

March 7, 2012 - August 12, 2015

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

MEMPHIS, TN

Past

June 4, 2008 - March 7, 2012

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MEMPHIS, TN

Past

March 21, 2006 - June 6, 2008

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

MEMPHIS, TN

Past

March 21, 2006 - June 6, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

MEMPHIS, TN

Past

March 23, 2004 - March 10, 2006

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MEMPHIS, TN

Past

December 21, 1994 - March 10, 2006

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

July 21, 1992 - November 18, 1994

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 6, 1992 - July 1, 1992

VINING-SPARKS IBG, LLC

CRD#: 27502

MEMPHIS, TN

Past

July 15, 1991 - April 16, 1992

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 20, 1989 - October 12, 1989

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

CRD#: 16493

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(7/24/2023)

Georgia
(11/18/2021)

Illinois
(11/18/2021)

Tennessee
(8/18/2015)

Exams

State Security Law Exam

Series 63

Date: 9/16/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/16/2015

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 10/16/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 10/16/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 5/5/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.

CRD#: 46346 / SEC#: , 8-51393

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Mailing Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Phone number

(901) 435-8080

Established

Tennessee since 10/30/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRST HORIZON BANK	SHAREHOLDER
BUCK, WILLIAM JAMES II	PRINCIPAL OPERATING OFFICER	3129662
DABROWSKI, MARK GERARD	CHIEF COMPLIANCE OFFICER	2065647
GRIFFIN, MARK DANIEL	SVP, RISK CONTROL MANAGER	7462222
JACKSON, JEFF BRIAN	SVP/ TRADING MANAGER	2777631
RITCHESON, DONALD ALLEN	PRINCIPAL FINANCIAL OFFICER / CFO	2360009
ROMANOW, TIMOTHY MARK	PRESIDENT/CEO	2533445
WADDELL, MICHAEL KNOX	EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY	5657529

Disclosures

Regulatory Event	7
Arbitration	1

Red Flags

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Firm Stability Insights

James N. Augustine

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Neal Augustine JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RAYMOND JAMES & ASSOCIATES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

J.P. MORGAN SECURITIES LLC

VINING-SPARKS IBG, LLC

J.P. MORGAN SECURITIES LLC

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/16/1991

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1989

Series 53

Date: 9/16/2015

Series 10

Date: 10/16/2000

Series 9

Date: 10/16/2000

Series 24

Date: 5/5/1997

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FHN FINANCIAL SECURITIES CORP.

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