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JS

James R. Storholm

AEGIS INVESTMENTS
St Louis Park, MN 55416
Some features on this profile are disabled
CRD#: 2310929
JS

Professional summary

James Richard Storholm is a registered financial professional currently at AEGIS INVESTMENTS, INC. located in St Louis Park, Minnesota.

James is registered as a RR (Registered Representative) and started their career in finance in 1993. James has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 22 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Richard Storholm's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 14, 1993 - Present

AEGIS INVESTMENTS, INC.

Office #1: 4915 West 35th Street Suite 206, St Louis Park, MN 55416Office #2: 4915 West 35th Street Suite 100, St Louis Park, MN 55416
BD
CRD#: 16033
St Louis Park, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Minnesota
(1/21/1993)

Exams

State Security Law Exam
RR
Series 63
Date: 1/13/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1993
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 1/11/1993
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 5/26/1999
Introducing Broker/Dealer Financial Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
AEGIS INVESTMENTS, INC.
AEGIS INVESTMENTS, INC. | IS SECURITIES, INC.

CRD#: 16033 / SEC#: , 8-33137

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
4915 West 35th Street Suite 100, St Louis Park, MN 55416
Mailing Address
4915 West 35th Street Suite 100, St Louis Park, MN 55416
Phone number
(612) 336-4432
Established
Minnesota since 12/07/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
INGLE, LINDA LEIGHPRESIDENT, CCO1297076
STORHOLM, JAMES RICHARDFIN OP2310929
ZIEGLER, JEFFREY GEORGEVICE PRESIDENT1442799

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

AEGIS INVESTMENTS, INC.

CRD#: 16033St Louis Park, MN 55416

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