James E. Hurst
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 Edwin Hurst, who also goes by James Hurst, Jim Hurst, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 9 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
January 3, 2021 - June 23, 2022
INDEPENDENT BROKERAGE SOLUTIONS LLC
June 2, 2020 - January 2, 2021
VIGILANT DISTRIBUTORS, LLC
May 14, 2012 - September 23, 2015
RBC CAPITAL MARKETS, LLC
April 4, 2012 - May 15, 2012
MIZUHO SECURITIES USA LLC
February 9, 2010 - February 9, 2012
UBS SECURITIES LLC
November 20, 2008 - January 21, 2010
GLEACHER & COMPANY SECURITIES, INC.
May 5, 2005 - December 12, 2008
BARCLAYS CAPITAL INC.
August 30, 1994 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
August 30, 1994 - May 19, 2005
LEHMAN BROTHERS INC.
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
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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