James D. Yearwood
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 David Yearwood, who also goes by J David Yearwood, J Davied Yearwood, J. David David Yearwood, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 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
February 23, 2021 - December 22, 2023
OAKPOINT SOLUTIONS, LLC
March 29, 2019 - December 4, 2019
ELEVATION, LLC
October 7, 2014 - August 16, 2018
FORESIDE FUND SERVICES, LLC
May 18, 2012 - October 8, 2014
OPTSECURITIES, LLC
March 18, 2009 - December 8, 2010
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
October 5, 1995 - March 24, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
May 12, 1995 - August 25, 1995
GOLDMAN SACHS & CO. LLC
November 13, 1989 - April 24, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
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
OAKPOINT SOLUTIONS, LLC
CRD#: 171775 / SEC#: , 8-69477
Contact information
FINRA licenses (47 States and Territories)
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.
