James W. Matheney
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 Waters Matheney SR, who also goes by James Waters Matheney, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1959. James had worked at 10 firms and has passed the Series 66, Series 63, Series 5, PC, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2011 - April 19, 2017
PER STIRLING CAPITAL MANAGEMENT, LLC
September 30, 2011 - August 3, 2012
B.B. GRAHAM & COMPANY, INC.
May 30, 2006 - October 11, 2011
CHOICE ADVISORY GROUP, INC.
March 4, 2003 - October 11, 2011
CHOICE INVESTMENTS, INC.
September 6, 1994 - November 3, 1997
NEO-STRATEGIES MARKETING ALLIANCES, INC.
January 3, 1994 - March 6, 2003
MOMENTUM INDEPENDENT NETWORK INC.
February 16, 1988 - January 5, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.
February 12, 1985 - February 20, 1988
THOMSON MCKINNON SECURITIES INC.
June 14, 1968 - April 21, 1972
SCHNEIDER, BERNET & HICKMAN SECURITIES CORPORATION
February 1, 1959 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
Primary Firm SEC Registration
PER STIRLING CAPITAL MANAGEMENT, LLC
CRD#: 151671 / SEC#: 801-70707
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 5
Date: 10/5/1981
Interest Rate Options ExaminationPC
Date: 9/13/1977
AMEX Put and Call ExamSeries 1
Date: 1/20/1958
Registered Representative ExaminationSeries 12
Date: 1/2/1959
NYSE Branch Manager ExaminationCurrent Firm
PER STIRLING CAPITAL MANAGEMENT, LLC
CRD#: 151671 / SEC#: 801-70707
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,584 |
| AUM (Assets Under Management) | $ 1,387,216,441 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
