James M. Weaver
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 Michael Weaver, who also goes by James M Weaver, Jim Weaver, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 17 firms and has passed the Series 66, Series 63, SIE, 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
August 27, 2014 - June 22, 2015
KESTRA INVESTMENT SERVICES, LLC
July 15, 2010 - August 22, 2014
CENTERRE CAPITAL LLC
January 12, 2010 - June 3, 2010
VOYA FINANCIAL ADVISORS, INC.
August 19, 2008 - December 31, 2009
USA ADVANCED PLANNERS INC.
June 27, 2007 - August 18, 2008
CENTAURUS FINANCIAL, INC.
June 27, 2007 - August 18, 2008
CENTAURUS FINANCIAL, INC.
May 10, 2007 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
January 24, 2006 - July 13, 2007
BROOKSTREET SECURITIES CORPORATION
September 16, 2005 - January 24, 2006
DOLPHIN SECURITIES, INC.
October 8, 2004 - May 13, 2005
CAPITAL BROKERAGE CORPORATION
February 19, 2003 - September 20, 2004
GUARDIAN INVESTOR SERVICES LLC
May 10, 2001 - February 21, 2003
DIRECTED SERVICES LLC
January 10, 2001 - January 19, 2001
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
May 22, 1998 - December 1, 2000
DIRECTED SERVICES LLC
June 11, 1997 - April 9, 1998
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
September 1, 1995 - March 3, 1997
JOHN HANCOCK DISTRIBUTORS LLC
November 19, 1993 - March 16, 1995
WELLS FARGO SECURITIES INC.
June 9, 1993 - November 19, 1993
MARKETING ONE SECURITIES, INC.
April 29, 1992 - February 16, 1993
JOHN HANCOCK DISTRIBUTORS LLC
June 27, 1990 - January 15, 1991
TRANSAMERICA SECURITIES SALES CORPORATION
June 27, 1990 - January 15, 1991
TRANSAMERICA FINANCIAL ADVISORS, 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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
