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JG

James W. Grace

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CRD#: 2372531
JG

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 Wesley Grace was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1993. James had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 28 and Series 24 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2017 - December 22, 2017

ALLUVION SECURITIES, LLC

BD
CRD#: 143623
MEMPHIS, TN
Past

January 16, 2007 - January 4, 2016

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
MEMPHIS, TN
Past

January 15, 2007 - January 4, 2016

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

March 13, 2003 - December 31, 2007

HERITAGE FUND ADVISORS, LLC

RIA
CRD#: 123924
MEMPHIS, TN
Past

June 12, 2002 - November 10, 2006

STILLPOINT WEALTH MANAGEMENT, LLC

BD
CRD#: 119154
MEMPHIS, TN
Past

January 20, 1999 - December 14, 2001

LEGACY SECURITIES CORP.

BD
CRD#: 35532
ATLANTA, GA
Past

April 26, 1996 - January 21, 1999

ADVANCED ASSET TRADING, INC

BD
CRD#: 37044
MEMPHIS, TN
Past

August 6, 1993 - October 4, 1995

PROGRESSIVE CAPITAL SECURITIES CORPORATION

BD
CRD#: 14946

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/6/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 5/10/1996
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/29/1996
General Securities Principal Examination

Current Firm

AS
ALLUVION SECURITIES, LLC
ALLUVION SECURITIES, LLC

CRD#: 143623 / SEC#: , 8-67584

BD
Terminated by SEC on 02/20/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/02/2005
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
THE HARBOR BANK OF MARYLANDMEMBER
FOLEY, LEANDER JOSEPH IIIMEMBER
LENSING, DAVID CASPERMEMBER/OWNER5103288
FAIRCHILDS, CHELSEY LAURENCCO/CEO5744289
MASTERS, KEVIN CRAWFORDFINOP/CFO2730013

Disclosures

Regulatory Event4

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

ALLUVION SECURITIES, LLC

CRD#: 143623

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