James B. Cartmill
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 B Cartmill, who also goes by James Bruce Cartmill, Jim Cartmill, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, 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
January 4, 2017 - July 6, 2020
NAVY FEDERAL INVESTMENT SERVICES, LLC
May 6, 2013 - January 4, 2017
NAVY FEDERAL ASSET MANAGEMENT, LLC
May 6, 2013 - July 6, 2020
NAVY FEDERAL INVESTMENT SERVICES, LLC
August 22, 2011 - October 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2011 - October 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2001 - August 9, 2011
CUNA BROKERAGE SERVICES, INC.
September 30, 1997 - August 9, 2011
CUNA BROKERAGE SERVICES, INC.
December 17, 1990 - September 15, 1997
LUTHERAN BROTHERHOOD SECURITIES CORP.
Primary Firm SEC Registration
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
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 7TO
Date: 7/18/2022
General Securities Representative ExaminationSeries 99TO
Date: 7/18/2022
Operations Professional ExaminationCurrent Firm
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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.
