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HC

H James Colburn

CRD# 2478373·Registered 1994 - 2009
Previously Registered: Being a previously registered professional could mean that H 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.

Professional Summary

H James Colburn, who also goes by James H Colburn, Jim Colburn, was a registered financial advisor. H was a previously registered financial professional and started their career in finance 1994 - 2009. H had worked at 6 firms and has passed the Series 63 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

James H Colburn, Jim Colburn

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

32 years in the financial services industry

Current & Past Employments

PROFESSIONAL ASSET MANAGEMENT, INC.·CRD# 21125
BD
Troy, MI
December 1, 2006 - December 31, 2009
GUSTAFSON BAXTER FINANCIAL SERVICES INC·CRD# 110289
RIA
Bedford, IN
June 4, 2001 - January 12, 2017
BRECEK & YOUNG ADVISORS, INC.·CRD# 40395
BD
Bedford, IN
March 15, 2001 - December 20, 2006
DONAHUE SECURITIES, INC.·CRD# 24330
BD
Cincinnati, OH
October 6, 2000 - March 6, 2001
PRIM SECURITIES, INCORPORATED·CRD# 30504
BD
Independence, OH
January 26, 1995 - October 18, 2000
WARWICK SECURITIES, INC.·CRD# 24356
BD
August 15, 1994 - December 16, 1994

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Current Firm

PA
PROFESSIONAL ASSET MANAGEMENT, INC.

PROFESSIONAL ASSET MANAGEMENT, INC.

CRD#: 21125 / SEC#: 8-38813
BD
Terminated by SEC on 10/28/2011

Contact Information

Established

Michigan since 09/10/1987

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
FLAM, JOAN EDWINAMO/CORP. SEC.719351
JOHNSON, PETER CHARLESPRESIDENT/TREASURER/CCO854653

Disclosures

Regulatory Event

2

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1994About the Series 63 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Aug 1994About the Series 6 exam

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CRS (Client Relationship Summary)

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

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