Stephen R. Jamison
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.
Stephen Robert Jamison was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 3 firms and has passed the Series 63, 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
May 29, 1998 - September 13, 2001
JAMES WHEELER & CO. INVESTMENTS, INC.
October 14, 1994 - May 18, 1998
INTERCONTINENTAL EQUITIES, INC.
April 27, 1994 - November 1, 1994
GILBERT MARSHALL & COMPANY
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
JAMES WHEELER & CO. INVESTMENTS, INC.
CRD#: 38157 / SEC#: , 8-48116
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
