James H. Nettles
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 Harold Nettles, who also goes by Jim Nettles, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 11 firms and has passed the Series 63, Series 7 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
June 24, 2003 - July 3, 2008
ICBA SECURITIES
April 28, 1997 - July 3, 2008
VINING-SPARKS IBG, LLC
August 6, 1990 - April 10, 1997
STEPHENS
December 8, 1989 - August 7, 1990
FIRSTMONEY SECURITIES CORPORATION
November 7, 1986 - October 17, 1988
POWELL & SATTERFIELD, INC.
September 19, 1986 - October 31, 1986
FIRST INVESTMENT SECURITIES, INC.
October 26, 1983 - May 15, 1984
FIRST INVESTMENT SECURITIES, INC.
March 2, 1981 - October 20, 1983
UNITED CAPITAL CORPORATION
March 21, 1980 - May 8, 1980
R. ROWLAND & CO., INCORPORATED
September 25, 1979 - March 31, 1980
PARHAM & COMPANY, INC.
September 5, 1969 - October 13, 1979
DIVERSIFIED FINANCIAL SERVICES CORPORATION OF AMERICA
November 6, 1968 - January 21, 1976
FINANCIAL SERVICE CORPORATION OF AMERICA
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: 3/26/1968
Registered Representative ExaminationCurrent Firm
ICBA SECURITIES
CRD#: 24088 / SEC#: , 8-40867
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ICBA SERVICES NETWORK, INC. | OWNER | |
| BATES, THOMAS EUGENE | DIRECTOR | 7598713 |
| BITTINGER, AZA HARRISON JR. | DIRECTOR | 4169602 |
| FOSTER, BRENDA KAY | DIRECTOR | |
| GUERRA, GABE | DIRECTOR | 7910566 |
| HEID, BLAKE AARON | DIRECTOR | 7598685 |
| JORDE, TERRY JEAN | SECRETARY | 2643666 |
| KINZER, CAROL ANN | FINANCIAL AND OPERATIONS PRINCIPAL | 4519471 |
| REBER, JAMES LEO | PRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 1809879 |
| ROMERO RAINEY, REBECA MARIA | DIRECTOR | 6989824 |
| TWEDDLE, KEVIN MATTHEW | DIRECTOR | 7152050 |
| WANICHEK, CRAIG ALAN | DIRECTOR | 2352101 |
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.
