James E. Keller
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 Edward Keller, who also goes by Jim Keller, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 6 firms and has passed the Series 63, SIE 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
August 28, 2006 - June 23, 2017
BRAZOS SECURITIES, INC.
July 1, 2003 - September 6, 2006
MCCLENDON, MORRISON & PARTNERS, INC.
April 12, 2001 - June 12, 2003
MML INVESTORS SERVICES, LLC
April 12, 2001 - June 12, 2003
MML INVESTORS SERVICES, LLC
October 28, 1996 - April 12, 2001
RUSHMORE SECURITIES CORPORATION
August 12, 1992 - October 16, 1996
1ST GLOBAL CAPITAL CORP.
February 25, 1991 - September 10, 1992
AVANTAX INVESTMENT SERVICES, 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
BRAZOS SECURITIES, INC.
CRD#: 21624 / SEC#: , 8-39119
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMS, BILLY FLOYD JR | PRESIDENT, SECRETARY ,SOLE SHAREHOLDER, FINOP, CCO AND GENERAL SECURITIES PRINCIPAL | 1548924 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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