James L. Carter
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 Larry Carter JR, who also goes by Jay Carter Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2018 - September 7, 2019
SHORELINEAMBROSE ADVISORS, LLC
February 23, 2018 - May 15, 2018
BA SECURITIES, LLC
April 11, 2016 - September 29, 2017
CORPORATE FINANCE SECURITIES, INC.
May 20, 2010 - April 1, 2014
STILLPOINT CAPITAL, LLC
September 21, 1998 - March 26, 2009
REMINGTON CAPITAL SECURITIES, LLC
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 28
Date: 4/7/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
SHORELINEAMBROSE ADVISORS, LLC
CRD#: 141046 / SEC#: , 8-67357
Contact information
FINRA licenses (2 States and Territories)
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.
