James D. Neville
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 Dale Neville, who also goes by Jd Neville, Jim Neville, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 13 firms and has passed the 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
June 23, 2005 - August 31, 2017
NAFA CAPITAL MARKETS, LLC
February 3, 2003 - June 13, 2005
PENSON FINANCIAL SERVICES, INC.
July 20, 2000 - February 3, 2003
SERVICE ASSET MANAGEMENT COMPANY
May 16, 1998 - September 1, 2000
PENSON FINANCIAL SERVICES, INC.
September 24, 1996 - April 30, 1998
T.J. THOMPSON & ASSOCIATES, INC.
November 14, 1991 - September 23, 1996
LEO OPPENHEIM & CO., INC.
August 15, 1989 - October 22, 1991
INVESTACORP, INC.
July 21, 1989 - August 22, 1989
CETERA WEALTH SERVICES, LLC
July 22, 1988 - July 25, 1989
BIRCHTREE FINANCIAL SERVICES LLC
November 13, 1986 - June 14, 1988
PRINCIPAL FINANCIAL SECURITIES,INC.
July 10, 1985 - November 5, 1986
HOUCHIN, ADAMSON & CO., INC.
April 20, 1983 - July 22, 1985
ADAMS, JAMES, ABARR & COMPANY, INC.
November 29, 1977 - February 16, 1983
WOOLSEY & COMPANY, INCORPORATED
February 9, 1973 - May 23, 1977
R. J. EDWARDS, INC.
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: 2/5/1973
Registered Representative ExaminationCurrent Firm
NAFA CAPITAL MARKETS, LLC
CRD#: 133599 / SEC#: , 8-66746
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FRYREAR, JOHN EDWARD | MGING MEMBER/CCO | 1537429 |
| NATIVE AMERICAN FUND ADVISORS LLC | MEMBER | 108149 |
| PINNACLE HOLDINGS | MEMBER | |
| POSEY, TIMOTHY STEVEN | MEMBER | |
| COOPER, MITCHELL HOWARD | MEMBER | 1947796 |
| LAMONT CAVANAUGH | MEMBER | |
| MYERS, MICHAELA DALE | PRINCIPAL | 800192 |
| POSEY, JAMES ANDREW JR | MEMBER | |
| QUINTON, DIANA LYNN | FINOP | 5431432 |
| WRIGHT, BRENT WRAY | MEMBER |
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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