James A. Champi
Professional summary
James Anthony Champi was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, James had worked at 11 firms, which includes INDEPENDENT FINANCIAL GROUP LLC, AMERIPRISE FINANCIAL SERVICES LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., HSBC SECURITIES (USA) INC., MCLAUGHLIN PIVEN VOGEL SECURITIES INC., RBC CAPITAL MARKETS LLC, TUCKER ANTHONY INCORPORATED, GIBRALTAR SECURITIES CO., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2014 - July 14, 2014
INDEPENDENT FINANCIAL GROUP, LLC
July 8, 2013 - September 10, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 1, 2012 - January 2, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 2, 2013
J.P. MORGAN SECURITIES LLC
August 21, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 21, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 3, 2007 - August 21, 2012
HSBC SECURITIES (USA) INC.
May 2, 2007 - August 21, 2012
HSBC SECURITIES (USA) INC.
February 13, 2003 - April 16, 2007
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
July 26, 2002 - April 16, 2007
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
May 10, 2002 - August 8, 2002
RBC CAPITAL MARKETS, LLC
March 9, 2002 - August 8, 2002
RBC CAPITAL MARKETS, LLC
September 1, 1999 - March 9, 2002
TUCKER ANTHONY INCORPORATED
May 27, 1994 - September 1, 1999
GIBRALTAR SECURITIES CO.
September 10, 1992 - May 13, 1994
METROPOLITAN LIFE INSURANCE COMPANY
September 10, 1992 - May 13, 1994
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
