Thomas Matthew Robert James
Professional Summary
Thomas Matthew Robert James, who also goes by Thomas M James, Thomas M R James, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1970 - 2014. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas M James, Thomas M R James
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
58 years in the financial services industry
Current & Past Employments
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Current Firm
DELTA SECURITIES COMPANY, LLC | MAITLAND SECURITIES, INC.
Contact Information
Established
Florida since 08/12/2019Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Aug 1968Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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