James A. Reid
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 Allen Reid, who also goes by Jim Reid, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1995. James had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 55, Series 52 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
March 30, 2010 - September 14, 2011
BROKERSXPRESS LLC
March 30, 2010 - September 14, 2011
BROKERSXPRESS LLC
July 23, 2007 - March 30, 2010
GUNNALLEN FINANCIAL, INC
June 18, 2007 - March 30, 2010
GUNNALLEN FINANCIAL, INC
September 30, 2004 - June 18, 2007
LAIDLAW & COMPANY (UK) LTD.
June 20, 2002 - November 1, 2004
SANDS BROTHERS & CO., LTD.
March 28, 2002 - June 21, 2002
AMERIPRISE ADVISOR SERVICES, INC.
July 27, 2001 - September 5, 2001
RUMSON CAPITAL, LLC
November 7, 2000 - July 24, 2001
PROTRADER SECURITIES L.P.
August 8, 1995 - October 15, 1998
AMERIPRISE ADVISOR SERVICES, 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 55
Date: 10/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
BROKERSXPRESS LLC
CRD#: 127081 / SEC#: 801-66123, 8-65953
Contact information
Disclosures
| Regulatory Event | 6 |
| Bond | 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.
