James M. Clements
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 Michael Clements, who also goes by Mike Clements, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 7 firms and has passed the Series 63, Series 7, Series 6 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
January 18, 2000 - November 21, 2003
CLEMENTS COMPANY INVESTMENT ADVISORS
March 17, 1997 - May 31, 2000
FIRST WALL STREET CORP.
November 12, 1996 - March 12, 1997
THE SECURITIES CENTER, INC.
September 12, 1996 - October 22, 1996
VOYA FINANCIAL ADVISORS, INC.
August 12, 1996 - October 8, 1996
CENTAURUS FINANCIAL, INC.
September 13, 1995 - June 25, 1996
WS GRIFFITH SECURITIES, INC.
June 28, 1995 - September 14, 1995
PRUCO SECURITIES, LLC.
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
CLEMENTS COMPANY INVESTMENT ADVISORS
CRD#: 47000 / SEC#: , 8-51619
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VALHALLA CAPITAL LLC | OWNER | |
| CHAPIN, ROLAND LEE | PRESIDENT | 2494038 |
| CLEMENTS, JAMES MICHAEL | VICE PRESIDENT |
Disclosures
| Regulatory Event | 5 |
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.
