James R. Simpson
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 R Simpson, who also goes by James Richard Simpson, Jim Simpson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 7 firms and has passed the Series 63, SIE, Series 79, Series 7 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
January 19, 2016 - January 29, 2018
MCLEAN SECURITIES, LLC
August 1, 2014 - January 13, 2016
MERIT SECURITIES, LLC
May 3, 2013 - July 18, 2014
FINANCE 500, INC.
October 31, 2011 - May 3, 2013
INDEPENDENT INVESTMENT BANKERS, CORP.
November 14, 2008 - November 11, 2009
STONEGATE CAPITAL MARKETS, INC.
July 6, 1998 - July 15, 1999
BROWN SIMPSON SECURITIES, LLC
May 10, 1996 - July 22, 1996
NORTHEAST 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
MCLEAN SECURITIES, LLC
CRD#: 104117 / SEC#: , 8-52565
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE MCLEAN GROUP, LLC | PARENT | |
| MARTIN, MITCHELL ZACHARY | CCO | 4993937 |
| SMITH, ANDREW CLIFFORD | FINOP |
Disclosures
| Regulatory Event | 1 |
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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