James W. Bryan
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 Witt Bryan III, who also goes by James Witt Bryan, Jim Bryan, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1972. James had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 10, Series 9, Series 40 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2012 - June 10, 2015
CREWS & ASSOCIATES, INC.
November 22, 2005 - April 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 22, 2005 - April 23, 2012
WELLS FARGO CLEARING SERVICES, LLC
October 25, 2000 - November 22, 2005
STEPHENS
October 5, 2000 - November 22, 2005
STEPHENS
March 29, 1999 - October 3, 2000
BOK FINANCIAL SECURITIES, INC.
October 12, 1998 - February 8, 1999
REGIONS INVESTMENT COMPANY, INC.
August 7, 1996 - October 6, 1998
FIRST COMMERCIAL INVESTMENTS, INC.
January 25, 1990 - July 17, 1996
AHART & BRYAN, INC.
April 13, 1984 - January 13, 1990
BRYAN, WORLEY & CO., INC.
January 9, 1979 - February 13, 1984
POWELL & SATTERFIELD, INC.
September 9, 1976 - November 28, 1976
DELTA SECURITIES OF LITTLE ROCK, INC.
June 23, 1972 - April 20, 1973
DELTA SECURITIES, INC.
Primary Firm SEC Registration
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
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 40
Date: 12/20/1978
Registered Principal ExaminationSeries 00
Date: 4/11/1972
General Securities Principal ExaminationCurrent Firm
CREWS & ASSOCIATES, INC.
CRD#: 8052 / SEC#: 801-128827, 8-24075
Contact information
SEC notice filing (18 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREWS CORE HOLDING COMPANY | OWNER | |
| BEARDSLEY, SCOTT ARTHUR | SECRETARY OF THE BOARD | 2349866 |
| BUMPERS, JOSEPH PARROTT | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER | 4336359 |
| CLAY, DENNIS CHARLES | CHIEF EXECUTIVE OFFICER, DIRECTOR, EXECUTIVE COMMITTEE | 1233857 |
| JONES, JAMES STEPHEN | PRESIDENT, DIRECTOR | 502536 |
| MEYER, DAMON CHRISTIAN | CHIEF COMPLIANCE OFFICER | 4133916 |
Regulatory assets under management
| Total Number of Accounts | 336 |
| AUM (Assets Under Management) | $ 149,386,233 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
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.
