Thomas M. 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.
Thomas Matthew Robert James, who also goes by Thomas M James, Thomas M R James, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 1 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
June 20, 2013 - December 31, 2014
DELTA SECURITIES COMPANY, LLC
February 15, 2012 - December 31, 2015
SIGNATURE ESTATE SECURITIES, LLC
August 26, 2010 - February 14, 2012
SYNERGY INVESTMENT GROUP, LLC
October 31, 2002 - December 31, 2008
SYNERGY INVESTMENT GROUP, LLC
December 20, 2000 - February 14, 2012
SYNERGY INVESTMENT GROUP, LLC
June 17, 1999 - December 20, 2000
FAS WEALTH MANAGEMENT SERVICES, INC.
January 11, 1999 - June 14, 1999
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 13, 1994 - December 3, 1998
CFG SECURITIES CORP.
June 7, 1989 - July 13, 1994
USLIFE EQUITY SALES CORP.
July 14, 1986 - September 21, 1988
LCP CAPITAL CORP.
April 12, 1983 - June 12, 1989
MONARCH SECURITIES, INC.
August 13, 1982 - July 1, 1986
CARDELL & ASSOCIATES, INCORPORATED
March 29, 1978 - August 24, 1982
OSAIC FS, INC.
February 13, 1970 - February 12, 1977
GUARDSMAN EQUITY CORPORATION
State Registrations and Notice Filings
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Exams
Series 1
Date: 8/21/1968
Registered Representative ExaminationCurrent Firm
DELTA SECURITIES COMPANY, LLC
CRD#: 130577 / SEC#: , 8-66364
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
