James E. Elsass
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 Erich Elsass was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2013 - April 7, 2015
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 2, 2003 - July 31, 2013
BB&T INVESTMENT SERVICES, INC.
December 10, 2002 - July 31, 2013
BB&T INVESTMENT SERVICES, INC.
January 17, 2002 - December 10, 2002
UVEST FINANCIAL SERVICES GROUP, INC.
September 4, 2001 - December 18, 2001
MONY SECURITIES CORPORATION
September 3, 1999 - September 5, 2001
HARRISDIRECT LLC
July 16, 1998 - September 13, 1999
MORGAN STANLEY DW 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
TEACHERS PERSONAL INVESTORS SERVICES, INC.
CRD#: 36130 / SEC#: , 8-47051
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIAA-CREF ASSET MANAGEMENT LLC | SHAREHOLDER | |
| LEE, CHRISTY ROSS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4926666 |
| LEE, CHRISTY ROSS | CHIEF FINANCIAL OFFICER | 4926666 |
| PIERRE-MERRITT, MARJORIE | CORPORATE SECRETARY | 5308970 |
| RAUSCHENBACH, KEITH HENRY | PRESIDENT, COO & DIRECTOR | 1719526 |
| SMITH, SHANITA SPIVEY | CHIEF COMPLIANCE OFFICER | 5174146 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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