James F. High
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 Franklin High, who also goes by Jim High, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 10 firms and has passed the Series 63, SIE, Series 1 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
June 30, 1999 - December 31, 2016
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - June 30, 1999
MUTUAL SERVICE CORPORATION
June 13, 1995 - November 3, 1995
CENTAURUS FINANCIAL, INC.
December 29, 1978 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
February 28, 1977 - December 18, 1977
M. H. DECKARD & CO., INC.
July 28, 1975 - March 17, 1977
SUNSET FINANCIAL SERVICES, INC.
September 24, 1973 - August 24, 1975
SURETY SECURITIES CORPORATION
May 24, 1973 - November 22, 1973
CORNERSTONE FINANCIAL SERVICES, INC.
November 5, 1971 - June 21, 1973
EQUITY FUNDING SECURITIES CORPORATION
July 20, 1971 - December 6, 1971
SURETY SECURITIES CORPORATION
October 10, 1968 - May 8, 1971
OPPENHEIMER ASSET MANAGEMENT CORPORATION
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 1
Date: 10/3/1968
Registered Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 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.
