George H. James
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.
George Howard James was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1969. George had worked at 12 firms and has passed the Series 65, Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2009 - August 4, 2011
AVALON PARTNERS, INC.
September 4, 2002 - January 2, 2009
GRANTA CAPITAL GROUP LLC
January 16, 2002 - August 23, 2002
DIRKS & COMPANY, INC.
May 20, 1998 - December 31, 2001
PRIME CHARTER LTD.
April 6, 1992 - May 21, 1998
CIBC WORLD MARKETS CORP.
January 23, 1990 - April 8, 1992
LADENBURG THALMANN & CO. INC.
May 23, 1988 - January 25, 1990
GRUNTAL & CO., L.L.C.
January 20, 1987 - May 26, 1988
BLUESTONE CAPITAL CORP.
August 24, 1981 - February 3, 1987
ROONEY, PACE INC.
May 26, 1978 - September 14, 1981
JOHN MUIR & CO.
March 22, 1976 - May 18, 1978
WESTMINSTER SECURITIES CORPORATION
November 17, 1969 - February 5, 1976
PHILIPS, APPEL & WALDEN, 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
Series 1
Date: 8/18/1960
Registered Representative ExaminationSeries 40
Date: 11/10/1969
Registered Principal ExaminationCurrent Firm
AVALON PARTNERS, INC.
CRD#: 41357 / SEC#: , 8-49384
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVALON PARTNERS HOLDINGS | SHAREHOLDER | |
| CHEAH, BEATRICE | PRESIDENT/ CHIEF COMPLIANCE OFFICER | 4816836 |
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.
