James S. Thomas
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 Shannon Thomas, who also goes by James Shannon Thomas, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 17 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2015 - January 7, 2016
WINDSOR STREET CAPITAL, LP
August 5, 2014 - December 16, 2014
DAWSON JAMES SECURITIES, INC.
February 26, 2014 - June 4, 2014
AVENIR FINANCIAL GROUP
March 5, 2012 - March 9, 2012
CALDWELL INTERNATIONAL SECURITIES
July 7, 2011 - December 20, 2011
SPARTAN CAPITAL SECURITIES, LLC
December 9, 2010 - July 7, 2011
LEGEND MERCHANT GROUP, INC.
January 25, 2010 - July 14, 2010
VIEWTRADE SECURITIES, INC.
January 6, 2010 - January 25, 2010
CHARLES MORGAN SECURITIES, INC.
September 9, 2009 - November 11, 2009
MERCER CAPITAL LTD.
August 24, 2009 - September 8, 2009
ROCKWELL GLOBAL CAPITAL LLC
August 21, 2009 - August 31, 2009
REID & RUDIGER LLC
August 25, 2004 - July 20, 2009
WINDSOR STREET CAPITAL, LP
March 20, 2003 - September 22, 2004
BERRY-SHINO SECURITIES, INC.
October 16, 2002 - April 11, 2003
SALOMON GREY FINANCIAL CORPORATION
February 6, 2001 - March 19, 2002
SALOMON GREY FINANCIAL CORPORATION
December 12, 2000 - January 19, 2001
VALLEY FORGE SECURITIES, INC .
July 18, 2000 - December 13, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
February 18, 2000 - July 24, 2000
MILLENNIUM SECURITIES CORP.
July 28, 1999 - March 6, 2000
TARPON SCURRY INVESTMENTS, INC.
May 26, 1998 - May 26, 1998
MILLENNIUM SECURITIES CORP.
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 62
Date: 5/23/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
Red Flags
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