James March
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 March, who also goes by James David March, James March, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 20 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 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
April 8, 2024 - December 31, 2025
CAPE SECURITIES INC.
April 5, 2024 - April 8, 2024
FIRST ASSET FINANCIAL INC.
January 3, 2023 - April 1, 2026
CAPE INVESTMENT ADVISORY, INC.
January 3, 2023 - April 1, 2026
AMERICAN GLOBAL WEALTH MANAGEMENT, INC.
July 1, 2019 - December 31, 2021
CAPITAL SYNERGY PARTNERS
July 1, 2019 - December 31, 2021
CAPITAL SYNERGY PARTNERS
June 8, 2018 - August 27, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 8, 2018 - August 27, 2018
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 23, 2018 - May 15, 2018
PRUCO SECURITIES, LLC.
January 31, 2018 - May 15, 2018
PRUCO SECURITIES, LLC.
May 26, 2015 - November 16, 2017
PFS INVESTMENTS INC.
May 7, 2015 - November 16, 2017
PFS INVESTMENTS INC.
September 11, 2012 - October 18, 2013
PRINCIPAL SECURITIES, INC.
September 4, 2012 - October 18, 2013
PRINCIPAL SECURITIES, INC.
August 31, 2012 - September 11, 2012
NEW ENGLAND SECURITIES
July 28, 2011 - September 11, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
July 28, 2011 - September 7, 2012
ALLSTATE FINANCIAL SERVICES, LLC
February 10, 2010 - July 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 10, 2010 - July 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 9, 2009 - February 5, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - February 5, 2010
CHASE INVESTMENT SERVICES CORP.
November 6, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
June 11, 2008 - October 16, 2008
SIGNATOR INVESTORS, INC.
December 18, 2007 - April 28, 2008
FORESTERS EQUITY SERVICES, INC.
January 10, 2007 - November 27, 2007
FORESTERS EQUITY SERVICES, INC.
October 5, 2001 - May 7, 2002
AMERIPRISE ADVISOR SERVICES, INC.
July 13, 1999 - July 5, 2001
CHARLES SCHWAB & CO., INC.
August 21, 1995 - April 28, 1998
MONY SECURITIES CORPORATION
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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| 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.
