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JC

James B. Catledge

Some features on this profile are disabled
CRD#: 2674188
JC

Professional summary

James Bryan Catledge was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, James had worked at 3 firms, which includes QA3 FINANCIAL CORP., WORLD GROUP SECURITIES INC., WMA SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 25, 2004 - July 13, 2005

QA3 FINANCIAL CORP.

BD
CRD#: 14754
OMAHA, NE
Past

April 2, 2002 - January 23, 2003

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

December 18, 1995 - April 12, 2002

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/15/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 11/4/1999
Investment Company Products/Variable Contracts Principal Examination

Current Firm

QF
QA3 FINANCIAL CORP.
INVESTORS FIRST SECURITIES, LTD. | QA3 FINANCIAL GROUP, LLC | QA3 FINANCIAL CORP. | QA3 FINANCIAL

CRD#: 14754 / SEC#: , 8-31155

BD
Terminated by SEC on 04/12/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 01/27/1981
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
QA3, LLCOWNER - PARENT COMPANY
BOLTON, GREGORY PAULSECRETARY4194519
WILD, STEPHEN KENTPRESIDENT/CEO/CFO/CCO466804

Disclosures

Regulatory Event6

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.

Company Information

QA3 FINANCIAL CORP.

CRD#: 14754

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