James T. Jackson
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 Trevor Jackson, who also goes by James Jackson, Trevor Jackson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 31 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
July 1, 2021 - March 23, 2022
VANGUARD ADVISERS, INC.
June 2, 2021 - March 23, 2022
VANGUARD MARKETING CORPORATION
September 19, 2003 - March 14, 2005
MORGAN STANLEY DW INC.
June 20, 2003 - March 14, 2005
MORGAN STANLEY DW INC.
May 15, 2002 - July 8, 2002
ALAMO CAPITAL
May 11, 2000 - March 8, 2001
RFS PARTNERS
August 28, 1998 - May 18, 2000
TEACHERS PERSONAL INVESTORS SERVICES, INC.
July 24, 1997 - July 31, 1998
TRAUTMAN WASSERMAN & COMPANY, INC.
September 25, 1996 - February 27, 1997
TRAUTMAN WASSERMAN & COMPANY, INC.
August 21, 1996 - September 20, 1996
FAIRCHILD FINANCIAL GROUP, INC.
Primary Firm SEC Registration
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
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 7TO
Date: 6/1/2021
General Securities Representative ExaminationCurrent Firm
VANGUARD ADVISERS, INC.
CRD#: 106715 / SEC#: 801-49601
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 698,843 |
| AUM (Assets Under Management) | $ 300,434,933,763 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 10/23/2024 | ||
| 06/28/2023 |
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.
