James Stanley
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 Stanley, who also goes by James Paul Stanley, Jim Stanley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 5 firms and has passed the Series 63, Series 7, Series 6, Series 10, Series 9 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
July 30, 2009 - January 22, 2014
FIRST CLEARING, LLC
October 1, 2000 - January 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
March 28, 1997 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 11, 1996 - February 14, 1997
METROPOLITAN LIFE INSURANCE COMPANY
June 11, 1996 - February 14, 1997
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
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.
