James L. Douglass
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 Louis Douglass, who also goes by James Louis Douglas, James Douglass, Jim Douglass, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 11 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2022 - July 21, 2022
ALIGHT FINANCIAL SOLUTIONS, LLC
February 25, 2022 - July 21, 2022
ALIGHT FINANCIAL ADVISORS, LLC
January 17, 2020 - December 16, 2020
PNC MANAGED ACCOUNT SOLUTIONS, INC.
January 17, 2020 - December 16, 2020
BBVA SECURITIES INC.
August 6, 2018 - January 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
August 6, 2018 - January 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
January 24, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 4, 2015 - March 8, 2018
SCOTTRADE, INC.
August 20, 2013 - July 27, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 13, 2013 - July 27, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 25, 2006 - August 20, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 25, 2003 - August 20, 2013
TD AMERITRADE, INC.
July 30, 1996 - August 20, 2013
TD AMERITRADE, INC.
November 21, 1994 - January 11, 1996
J.C. BRADFORD & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 11/13/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ALIGHT FINANCIAL SOLUTIONS, LLC
CRD#: 36509 / SEC#: , 8-47344
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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