James A. Thomas
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 Thomas, who also goes by James Austin Thomas, James Thomas, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 17 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2021 - November 22, 2021
HARRISDIRECT LLC
January 8, 2021 - November 22, 2021
E*TRADE SECURITIES LLC
October 18, 2018 - January 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
October 11, 2018 - January 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2018 - October 9, 2018
WOODBURY FINANCIAL SERVICES, INC.
June 1, 2018 - October 9, 2018
OSAIC SERVICES, INC.
June 1, 2018 - October 9, 2018
OSAIC WEALTH, INC.
June 1, 2018 - October 9, 2018
FSC SECURITIES CORPORATION
June 1, 2018 - October 9, 2018
WOODBURY FINANCIAL SERVICES, INC.
June 1, 2018 - October 9, 2018
OSAIC SERVICES, INC.
June 1, 2018 - October 9, 2018
OSAIC WEALTH, INC.
June 1, 2018 - October 9, 2018
FSC SECURITIES CORPORATION
September 10, 2015 - May 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 9, 2015 - May 30, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 7, 2015 - September 16, 2015
LPL FINANCIAL LLC
October 24, 2013 - September 16, 2015
LPL FINANCIAL LLC
August 12, 2013 - October 23, 2013
INDEPENDENT FINANCIAL GROUP, LLC
November 19, 2012 - July 9, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2005 - October 18, 2012
CHARLES SCHWAB & CO., INC.
May 9, 2003 - June 14, 2004
PACIFIC SELECT DISTRIBUTORS, LLC
October 4, 2002 - April 8, 2003
TD AMERITRADE, INC.
May 17, 2002 - July 1, 2002
BROWNCO, LLC
February 15, 2002 - April 2, 2002
A. G. EDWARDS & SONS, INC.
July 3, 1997 - May 21, 2001
BROWNCO, LLC
October 1, 1996 - June 17, 1997
JACK WHITE & COMPANY, INC.
July 12, 1996 - August 26, 1996
DONALD & CO. SECURITIES INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
