James A. Kompany
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 A Kompany, who also goes by James Anthony Kompany, Jim Kompany, Jimmy Kompany, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 10 firms and has passed the Series 65, Series 66, Series 6TO, SIE, Series 6 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
October 28, 2020 - October 1, 2021
RMR WEALTH BUILDERS, INC.
August 8, 2018 - October 1, 2021
CALTON & ASSOCIATES, INC.
September 28, 2015 - October 1, 2021
CALTON & ASSOCIATES, INC.
March 21, 2014 - December 31, 2014
JKA FINANCIAL GROUP, LLC
December 6, 2006 - December 20, 2007
OSAIC WEALTH, INC.
August 29, 2006 - December 20, 2007
INVESTMENT ADVISORS ASSET MANAGEMENT, LLC
March 20, 2006 - December 4, 2006
INVESTMENT ADVISORS & CONSULTANTS, INC.
September 17, 2001 - July 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
May 9, 2000 - April 10, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 1996 - June 6, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 8, 1996 - June 6, 1996
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
RMR WEALTH BUILDERS, INC.
CRD#: 169005 / SEC#: 801-80404
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 6TO
Date: 3/19/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
RMR WEALTH BUILDERS, INC.
CRD#: 169005 / SEC#: 801-80404
Contact information
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,428 |
| AUM (Assets Under Management) | $ 2,199,565,329 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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