James R. Stearns
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 Richard Stearns was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 5 firms and has passed the Series 65, Series 66 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2010 - December 31, 2012
STEARNS CPA SOLUTIONS, LTD
March 5, 2008 - July 2, 2010
CETERA WEALTH SERVICES, LLC
March 12, 2003 - December 31, 2007
HARBOUR INVESTMENTS, INC.
March 7, 2001 - March 26, 2003
WOODBURY FINANCIAL SERVICES, INC.
May 14, 1999 - March 5, 2001
WADDELL & REED
State Registrations and Notice Filings
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Exams
Current Firm
STEARNS CPA SOLUTIONS, LTD
CRD#: 152449 / SEC#:
Contact information
Red Flags
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