Barry R. James
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.
Barry Ray James, who also goes by Barry James, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1993. Barry had worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2011 - October 11, 2022
ALPS DISTRIBUTORS, INC.
February 9, 2010 - October 24, 2011
UNIFIED FINANCIAL SECURITIES, LLC
December 21, 1999 - March 2, 2009
IFS FUND DISTRIBUTORS, INC.
January 22, 1993 - December 31, 2021
JAMES CAPITAL ALLIANCE 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 2
Date: 12/9/1992
Non-Member General Securities ExaminationCurrent Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
