James T. Mabbott
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 Terry Mabbott was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - March 2, 2018
COLORADO FINANCIAL SERVICE CORPORATION
January 3, 2017 - March 2, 2018
COLORADO FINANCIAL SERVICE CORPORATION
October 20, 2015 - December 31, 2016
CETERA INVESTMENT ADVISERS LLC
September 17, 2015 - December 31, 2016
SUMMIT BROKERAGE SERVICES, INC.
March 3, 2011 - November 13, 2015
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
March 3, 2011 - September 29, 2015
J.P. TURNER & COMPANY, L.L.C.
March 4, 2009 - February 11, 2011
QA3 FINANCIAL LLC
March 4, 2009 - February 11, 2011
QA3 FINANCIAL CORP.
July 6, 2007 - February 13, 2009
PACIFIC WEST FINANCIAL CONSULTANTS INC
June 29, 2007 - February 13, 2009
PACIFIC WEST SECURITIES, INC.
December 5, 2005 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
November 30, 2005 - July 2, 2007
BROOKSTREET SECURITIES CORPORATION
January 4, 2002 - December 21, 2005
FORTA FINANCIAL GROUP, INC.
November 28, 2000 - December 21, 2005
FORTA FINANCIAL GROUP, INC.
October 2, 1997 - December 5, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 4, 1994 - August 11, 1994
CHATFIELD DEAN & CO., INC.
August 4, 1994 - September 17, 1997
UBS FINANCIAL SERVICES 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
Current Firm
COLORADO FINANCIAL SERVICE CORPORATION
CRD#: 104343 / SEC#: 801-76716, 8-52817
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLORADO NATIONAL CORPORATION | OWNER | |
| FELDMAN, KEITH MITCHELL | MUNICIPAL SECURITIES PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | OPTIONS PRINCIPAL | 1308772 |
| FELDMAN, KEITH MITCHELL | GENERAL SECURITIES PRINCIPAL, HEAD OF OPERATIONS | 1308772 |
| HEBERT, CHESTER JOSEPH | FINOP | 1678446 |
| HEBERT, CHESTER JOSEPH | CHIEF COMPLIANCE OFFICER | 1678446 |
| HEBERT, CHESTER JOSEPH | CHAIRMAN, CHIEF EXECUTIVE OFFICER, PRESIDENT | 1678446 |
| THON, JAMESON OBRIEN | GENERAL SECURITIES PRINCIPAL, PRESIDENT | 7015002 |
| WOODWORTH, ADAM JAMES | COMPLIANCE OFFICER | 6952982 |
Regulatory assets under management
| Total Number of Accounts | 209 |
| AUM (Assets Under Management) | $ 68,471,136 |
Disclosures
| Regulatory Event | 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.
