James S. Uren
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 S Uren, who also goes by James S U'ren, Jim U'ren, James Scott Uren, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 8 firms and has passed the Series 63 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
January 16, 2013 - September 17, 2013
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
November 3, 2011 - January 11, 2013
LPL FINANCIAL LLC
December 9, 2010 - October 24, 2011
PRINCIPAL SECURITIES, INC.
June 15, 2006 - May 20, 2010
WELLS FARGO INVESTMENTS, LLC
June 15, 2006 - May 20, 2010
WELLS FARGO INVESTMENTS, LLC
August 12, 2004 - June 7, 2006
MORGAN STANLEY DW INC.
August 12, 2004 - June 7, 2006
MORGAN STANLEY DW INC.
May 13, 2003 - August 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
October 22, 1999 - August 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 2, 1994 - October 6, 1999
CITIGROUP GLOBAL MARKETS INC.
June 21, 1990 - September 9, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
