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JM

James S. Mcclellan

Some features on this profile are disabled
CRD#: 325492
JM

Professional summary

James Steele Mcclellan JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1965. Prior to being barred, James had worked at 4 firms, which includes HUNTLEIGH SECURITIES CORPORATION, WELLS FARGO CLEARING SERVICES LLC, R. ROWLAND & CO. INCORPORATED, G. H. WALKER LAIRD INCORPORATED.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 22, 2003 - August 31, 2010

HUNTLEIGH SECURITIES CORPORATION

BD
CRD#: 7456
CHESTERFIELD, MO
Past

October 5, 2001 - April 22, 2003

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 18, 1979 - October 8, 2001

HUNTLEIGH SECURITIES CORPORATION

BD
CRD#: 7456
ST. LOUIS, MO
Past

June 12, 1974 - June 18, 1979

R. ROWLAND & CO., INCORPORATED

BD
CRD#: 911
Past

June 15, 1972 - August 16, 1974

G. H. WALKER, LAIRD INCORPORATED

BD
CRD#: 342
Past

April 27, 1965 - June 17, 1972

R. ROWLAND & CO., INCORPORATED

BD
CRD#: 911

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 4/22/1965
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/30/1979
General Securities Principal Examination

Current Firm

HS
HUNTLEIGH SECURITIES CORPORATION
HUNTLEIGH SECURITIES CORPORATION | KRENTZ, MEYER & MCCLELLAN INVESTMENT CORPORATION

CRD#: 7456 / SEC#: , 8-21893

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105
Mailing Address
7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105
Phone number
(314) 236-2400
Established
Missouri since 05/12/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CHAMBERS, ROBERT LEWISPRESIDENT/DIRECTOR/OWNER1231649
GAO CONSULTING, LLCOWNER
CHAMBERS, ROBERT BARRETTDIRECTOR6963634
LEOPOLD, MICHAEL WARRENDIRECTOR306991
MARSHALL, CATHERINE TERRYCCO/DIRECTOR/CORPORATE SECRETARY1445205
O'CONNELL, CHRISTOPHER CORYDIRECTOR5008251
OVERSCHMIDT, GREG ALFREDDIRECTOR1160877
THOMAS, KAREN LEECHIEF OPERATIONS OFFICER AND FIN/OP1970467

Disclosures

Regulatory Event7
Arbitration1

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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Company Information

HUNTLEIGH SECURITIES CORPORATION

CRD#: 7456

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