James L. Britton
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 Leonard Britton JR, who also goes by Jim Britton Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 53 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
March 26, 2002 - April 15, 2019
WELLS NELSON & ASSOCIATES, L.L.C.
October 20, 1998 - April 1, 2002
STERNE, AGEE & LEACH, INC.
April 4, 1984 - December 26, 1984
UMIC, INC.
June 22, 1983 - February 21, 1984
RAUSCHER PIERCE REFSNES, INC.
March 22, 1977 - October 19, 1998
STEPHENS
February 5, 1973 - January 30, 1977
SELLERS INVESTMENT COMPANY, INCORPORATED
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 1
Date: 1/21/1973
Registered Representative ExaminationCurrent Firm
WELLS NELSON & ASSOCIATES, L.L.C.
CRD#: 104030 / SEC#: , 8-52490
Contact information
Disclosures
| Regulatory Event | 1 |
Red Flags
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