James W. Mewborn
Professional summary
James William Mewborn was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James William Mewborn was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 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
January 13, 2016 - February 21, 2017
PRINCIPAL SECURITIES, INC.
December 22, 2015 - February 21, 2017
PRINCIPAL SECURITIES, INC.
December 15, 2014 - December 24, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 5, 2014 - December 24, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 19, 2008 - September 8, 2011
SECURITIES AMERICA, INC.
July 18, 2008 - November 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 18, 2008 - November 14, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
August 10, 2005 - July 9, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2005 - July 9, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 18, 2001 - July 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 2001 - July 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 8, 1999 - December 12, 2001
EDWARD JONES
February 3, 1998 - June 30, 1999
LOCUST STREET SECURITIES, INC.
October 14, 1997 - February 1, 1998
OSAIC FS, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
