James M. Clingensmith
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 Mackey Clingensmith was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1991. James had worked at 5 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
July 24, 2013 - June 10, 2015
FLAGSHIP HARBOR ADVISORS, LLC
July 24, 2013 - June 10, 2015
LPL FINANCIAL LLC
May 23, 2012 - June 27, 2013
SIGNATOR INVESTORS, INC.
May 18, 2012 - June 27, 2013
SIGNATOR INVESTORS, INC.
September 20, 2002 - May 21, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
November 14, 1991 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 14, 1991 - May 21, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733 / SEC#: 801-71997
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
FLAGSHIP HARBOR ADVISORS, LLC
CRD#: 155733 / SEC#: 801-71997
Contact information
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,382 |
| AUM (Assets Under Management) | $ 3,008,478,711 |
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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