James D. Carey
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 Dawson Carey, who also goes by James Carey, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1995. James had worked at 2 firms and has passed the Series 63 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 11, 2014 - December 31, 2021
STONE POINT CAPITAL LLC
December 20, 1995 - March 19, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
STONE POINT CAPITAL LLC
CRD#: 156521 / SEC#: 801-74033
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
STONE POINT CAPITAL LLC
CRD#: 156521 / SEC#: 801-74033
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 45 |
| AUM (Assets Under Management) | $ 56,767,259,546 |
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.
