James A. Kries
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 Anthony Kries, who also goes by Jim Kries, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 13 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 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
June 11, 2020 - December 31, 2020
FIRST AMERICAN FINANCIAL ADVISORS, INC.
May 15, 2020 - December 31, 2020
GREAT AMERICAN INVESTORS, INC.
June 1, 2017 - June 12, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 1, 2017 - June 12, 2018
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 8, 2010 - June 29, 2017
BIC DISTRIBUTORS, LLC
February 22, 2010 - December 10, 2010
BIC ADVISORS, LLC
February 14, 2008 - September 16, 2009
VP DISTRIBUTORS LLC
May 3, 2006 - February 11, 2008
TRANSAMERICA CAPITAL, LLC
August 2, 2005 - April 28, 2006
EVERLAKE DISTRIBUTORS, LLC
July 20, 2004 - August 3, 2005
TOWER SQUARE SECURITIES, INC.
October 29, 1996 - July 7, 2004
COREBRIDGE CAPITAL SERVICES, INC.
December 15, 1992 - October 16, 1996
PRUDENTIAL EQUITY GROUP, LLC
June 15, 1990 - December 24, 1992
LEHMAN BROTHERS INC.
August 22, 1989 - June 29, 1990
CENPAC SECURITIES CORP.
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
FIRST AMERICAN FINANCIAL ADVISORS, INC.
CRD#: 113420 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 10,125,798 |
Red Flags
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