James T. Bonnet
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 Thomas Bonnet was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, Series 7TO, SIE, Series 55, Series 7, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2017 - March 1, 2021
M. S. HOWELLS & CO.
September 6, 2000 - June 6, 2016
M. S. HOWELLS & CO.
July 22, 1999 - June 15, 2000
EMPIRE CAPITAL GROUP, LLC
February 8, 1999 - July 22, 1999
INTL CUSTODY & CLEARING SOLUTIONS INC.
January 29, 1993 - February 3, 1999
SUNAMERICA SECURITIES, INC.
July 1, 1992 - January 30, 1993
AMERIPRISE ADVISOR SERVICES, INC.
May 26, 1992 - June 17, 1992
FRANKLIN-LORD, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 7/8/2022
General Securities Representative ExaminationSeries 55
Date: 4/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
M. S. HOWELLS & CO.
CRD#: 104100 / SEC#: , 8-52558
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MARK HOWELLS TRUST, DATED 6/25/1997, MARK HOWELLS TRUSTEE | OWNER | |
| SANTAMARIA, KATRINA PATRICIA | CHIEF EXECUTIVE OFFICER | 3248779 |
| CRITES, MARCY ANN | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP) | 6346298 |
| HOWELLS, MARK STEPHEN | TRUSTEE FOR MARK HOWELLS TRUST DATED 6/25/1997 | 726921 |
| HOWELLS, MARK STEPHEN | EXECUTIVE CHAIRMAN/DIRECTOR | 726921 |
| JORDAN, CHRISTOPHER SHANE | CHIEF COMPLIANCE OFFICER | 2843281 |
| KREIZENBECK, TARA LYNN | CHIEF OPERATING OFFICER | 7141895 |
Red Flags
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