James P. Jones
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 Paul Jones was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 3 firms and has passed the Series 63, SIE 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 14, 2010 - February 22, 2018
AMERICAN EQUITY CAPITAL, INC.
October 2, 2001 - September 11, 2008
AMERICAN EQUITY CAPITAL, INC.
July 24, 2001 - August 21, 2001
FIRST VARIABLE CAPITAL SERVICES, INC.
June 26, 1997 - July 12, 2001
IAC 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
Current Firm
AMERICAN EQUITY CAPITAL, INC.
CRD#: 45288 / SEC#: , 8-51019
Contact information
Documents
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.
