James A. Black
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 Alan Black, who also goes by Jim Black, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 9 firms and has passed the Series 66, SIE 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 24, 2008 - April 10, 2012
PARTNERS ADVISORS
February 6, 2008 - July 24, 2008
ARROWHEAD FINANCIAL SERVICES
September 26, 2007 - March 20, 2017
STIFEL INDEPENDENT ADVISORS, LLC
September 26, 2007 - March 20, 2017
STIFEL INDEPENDENT ADVISORS, LLC
June 6, 2006 - September 19, 2007
GOLDEN BENEFICIAL SECURITIES CORPORATION
June 6, 2006 - September 19, 2007
GOLDEN BENEFICIAL SECURITIES CORPORATION
February 21, 2006 - June 8, 2006
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - June 8, 2006
CITIGROUP GLOBAL MARKETS INC.
October 1, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
October 1, 2003 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
November 29, 2002 - October 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 2, 2001 - November 29, 2002
WELLS FARGO INVESTMENTS, LLC
July 3, 1997 - May 2, 2001
WELLS FARGO SECURITIES INC.
State Registrations and Notice Filings
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Exams
Current Firm
PARTNERS ADVISORS
CRD#: 121122 / SEC#: 801-61321
Contact information
Red Flags
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