James A. Staples
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 Alan Staples, who also goes by James A Staples, Jim A. Staples, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2003. James had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2017 - December 31, 2024
CITY CAPITAL ADVISORS, LLC
September 23, 2011 - July 22, 2015
STARSHAK WINZENBURG & CO
June 26, 2006 - September 4, 2008
BMO CAPITAL MARKETS CORP.
November 1, 2003 - April 20, 2006
BMO CAPITAL MARKETS CORP.
June 4, 2003 - November 1, 2003
HARRIS NESBITT CORP.
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
CITY CAPITAL ADVISORS, LLC
CRD#: 143528 / SEC#: , 8-67580
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KING, RICHARD MARTIN | MANAGING DIRECTOR | |
| TIMMERMAN, MARK ALLEN | CCO, AMLCO, MANAGING DIRECTOR & EXECUTIVE REPRESENTATIVE | |
| LENART, BRIAN DOUGLAS | FINOP, PFO/POO | 736107 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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