John James
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.
John James was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2017 - August 14, 2017
TD AMERITRADE, INC.
April 12, 2016 - December 13, 2016
BELPOINTE ASSET MANAGEMENT LLC
March 8, 2013 - December 4, 2014
CHARLES SCHWAB & CO., INC.
March 8, 2013 - December 4, 2014
CHARLES SCHWAB & CO., INC.
August 19, 2011 - February 21, 2013
USAA FINANCIAL PLANNING SERVICES
August 19, 2011 - February 21, 2013
USAA FINANCIAL ADVISORS, INC.
December 12, 2007 - July 22, 2011
STRATEGIC ADVISERS LLC
January 1, 2006 - July 21, 2011
FIDELITY BROKERAGE SERVICES LLC
June 30, 2004 - October 5, 2005
VALIC FINANCIAL ADVISORS, INC.
September 24, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
September 24, 2001 - October 5, 2005
VALIC FINANCIAL ADVISORS, INC.
October 15, 1996 - September 27, 2001
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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