James R. Spear
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 Rufus Spear, who also goes by Jim Spear, 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 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
January 4, 2011 - December 31, 2013
RESOURCE HORIZONS GROUP LLC
January 9, 2006 - December 31, 2010
CENTAURUS FINANCIAL, INC.
August 19, 2002 - September 26, 2005
STONEX SECURITIES INC.
October 24, 2001 - August 13, 2002
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 19, 1993 - October 25, 2001
CADARET, GRANT & CO., INC.
June 8, 1992 - July 14, 1993
EQUITY SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RESOURCE HORIZONS GROUP LLC
CRD#: 104368 / SEC#: , 8-52830
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
