James B. Mcelwain
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 Mcelwain was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2013 - April 28, 2017
PNC CAPITAL ADVISORS LLC
November 27, 2012 - April 28, 2017
FORESIDE DISTRIBUTION SOLUTIONS, LLC
February 27, 2002 - May 20, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
March 12, 1992 - December 3, 2001
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
PNC CAPITAL ADVISORS LLC
CRD#: 151829 / SEC#: 801-70684
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
PNC CAPITAL ADVISORS LLC
CRD#: 151829 / SEC#: 801-70684
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 573 |
| AUM (Assets Under Management) | $ 42,558,194,728 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 08/24/2023 | ||
| 09/28/2022 |
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.
