James R. Mcisaac
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 Robert Mcisaac, who also goes by Bob Mcisaac, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2003 - December 31, 2017
CROWN CAPITAL SECURITIES, L.P.
November 19, 2002 - December 31, 2017
CROWN CAPITAL SECURITIES, L.P.
January 16, 1987 - November 22, 2002
AMERICAN GENERAL SECURITIES INCORPORATED
March 1, 1985 - November 23, 1985
AMERICAN GENERAL SECURITIES INCORPORATED
May 9, 1983 - December 16, 1986
FIRST LIBERTY SECURITIES, INC.
February 23, 1979 - May 7, 1982
ALEXANDER & ALEXANDER SECURITIES CORP.
April 14, 1975 - July 19, 1980
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
June 15, 1974 - June 5, 1975
HIMCO DISTRIBUTION SERVICES COMPANY
April 25, 1972 - April 22, 1973
ITT FAMILY SECURITY SALES CORPORATION
April 25, 1972 - August 20, 1974
HARTFORD VARIABLE ANNUITY LIFE LIFE INSURANCE COMPANY
February 23, 1972 - February 20, 1978
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 1, 1971 - July 9, 1981
PACIFIC SELECT DISTRIBUTORS, LLC
June 10, 1969 - February 23, 1979
INCENTIVE INVESTMENTS, INC.
May 22, 1969 - January 3, 1972
FML FUND DISTRIBUTORS COMPANY
February 11, 1969 - March 1, 1985
CAL-WESTERN SECURITIES CO.
February 11, 1969 - April 18, 1985
CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY
September 30, 1968 - January 10, 1974
SECURITY PLANNING 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: 9/23/1968
Registered Representative ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
