James H. Sellers
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 Holt Sellers JR, who also goes by James Holt Sellers, James Sellers, Jamie Sellers, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1996. James had worked at 16 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 31 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2024 - December 31, 2024
CRESCENT SECURITIES GROUP, INC.
May 31, 2022 - September 30, 2022
PREP SECURITIES, LLC
February 6, 2018 - September 16, 2020
BLUEROCK CAPITAL MARKETS LLC
June 6, 2016 - March 8, 2017
INLAND SECURITIES CORPORATION
May 15, 2014 - May 16, 2016
TERRA CAPITAL MARKETS LLC
December 3, 2012 - March 26, 2014
ARQUE CAPITAL, LTD.
March 30, 2012 - November 9, 2012
CAPE SECURITIES INC.
February 22, 2011 - December 13, 2011
ALLIED BEACON PARTNERS, INC.
June 14, 2010 - February 22, 2011
AMERICAN BEACON PARTNERS, INC.
June 3, 2005 - September 20, 2006
EQUITABLE ADVISORS, LLC
November 2, 2004 - February 17, 2005
INVEST FINANCIAL CORPORATION
November 7, 2001 - January 20, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 31, 1999 - November 2, 2000
TD AMERITRADE, INC.
March 31, 1998 - September 14, 1998
MORGAN STANLEY DW INC.
November 14, 1997 - January 30, 1998
J.P. TURNER & COMPANY, L.L.C.
September 19, 1996 - October 24, 1996
WOODBURY FINANCIAL SERVICES, 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
CRESCENT SECURITIES GROUP, INC.
CRD#: 114993 / SEC#: , 8-53457
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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