James D. Deboer
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 Daniel Deboer, who also goes by James D Deboer, Jim Deboer, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
September 1, 2010 - March 7, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 20, 2006 - August 26, 2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 7, 2002 - January 25, 2006
EDWARD JONES
February 12, 2001 - January 17, 2002
A. G. EDWARDS & SONS, INC.
January 19, 2001 - February 16, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - February 16, 2001
WELLS FARGO INVESTMENTS, LLC
July 13, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 28, 1997 - July 23, 1998
PIPER SANDLER & CO.
October 27, 1994 - March 28, 1995
FORESTERS FINANCIAL SERVICES, 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
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
