James E. Stephens
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 Stephens JR, who also goes by Jim Stephens, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1991. James had worked at 9 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
May 17, 2001 - December 11, 2002
MORGAN SPAULDING, INC.
February 14, 2001 - April 20, 2001
RICHMARK CAPITAL CORPORATION
August 23, 2000 - December 6, 2000
JOSEPHTHAL & CO., INC.
April 1, 1999 - December 2, 1999
CAPITAL SECURITIES OF AMERICA, INC.
November 3, 1995 - December 15, 1997
ATLANTIC PACIFIC FINANCIAL, INC.
September 20, 1995 - October 19, 1995
FIRST ASSET MANAGEMENT, INC.
September 22, 1993 - October 24, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
July 15, 1991 - November 14, 1991
CHELSEA STREET SECURITIES, INC.
July 11, 1991 - July 17, 1991
J. W. GANT & ASSOCIATES, 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
MORGAN SPAULDING, INC.
CRD#: 44604 / SEC#: , 8-50751
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
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.
