James B. Evans
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 Butler Evans was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 9 firms and has passed the Series 63, Series 5, Series 1 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
March 5, 1986 - June 3, 1987
NIES/BRAUER SECURITIES, INC.
September 10, 1984 - January 29, 1986
MERRICO INVESTMENTS CORPORATION
October 27, 1983 - August 28, 1984
ACUMENT SECURITIES, INC.
January 19, 1983 - August 10, 1983
E. F. HUTTON & COMPANY INC
December 23, 1980 - February 4, 1983
MORGAN STANLEY DW INC.
March 20, 1979 - January 3, 1981
BLUNT ELLIS & LOEWI INCORPORATED
October 17, 1974 - April 18, 1979
ROBERT W. BAIRD & CO. INCORPORATED
January 30, 1973 - November 23, 1974
STONE & WEBSTER SECURITIES CORPORATION
June 1, 1971 - April 2, 1973
J. E. HINTON & CO., 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 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 1
Date: 5/22/1971
Registered Representative ExaminationCurrent Firm
NIES/BRAUER SECURITIES, INC.
CRD#: 6707 / SEC#: , 8-17988
Contact information
Documents
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.
