James A. Ponder
Professional summary
James Arthur Ponder was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, James had worked at 5 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., MORGAN KEEGAN & COMPANY LLC, AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC, AMSOUTH INVESTMENT SERVICES INC., MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2009 - January 19, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 2, 2008 - July 14, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 20, 2008 - July 14, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 22, 2007 - March 27, 2008
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - March 27, 2008
MORGAN KEEGAN & COMPANY, LLC
July 29, 2003 - February 21, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
February 10, 2003 - July 29, 2003
AMSOUTH INVESTMENT SERVICES, INC.
May 3, 2002 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
September 25, 1996 - April 11, 2002
MORGAN STANLEY DW 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
Current Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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