James D. Stinson
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 Deralf Stinson JR, who also goes by James D Stinson, James Deralf Stinson, Jamie Deralf Stinson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2016 - January 26, 2017
FIRST BROKERAGE AMERICA, L.L.C.
November 2, 2016 - January 26, 2017
FIRST BROKERAGE AMERICA, L.L.C.
November 28, 2014 - March 8, 2016
LPL FINANCIAL LLC
November 25, 2014 - March 8, 2016
LPL FINANCIAL LLC
May 28, 2014 - June 23, 2014
FIRST STATE FINANCIAL MANAGEMENT, INC.
May 28, 2014 - June 23, 2014
FIRST STATE FINANCIAL MANAGEMENT, INC.
October 3, 2013 - May 2, 2014
FIFTH THIRD SECURITIES, INC.
October 3, 2013 - May 2, 2014
FIFTH THIRD SECURITIES, INC.
July 9, 2008 - September 18, 2013
U.S. BANCORP INVESTMENTS, INC.
July 9, 2008 - September 18, 2013
U.S. BANCORP INVESTMENTS, INC.
January 20, 2004 - February 26, 2008
LPL FINANCIAL LLC
January 20, 2004 - February 26, 2008
LPL FINANCIAL LLC
November 12, 2003 - January 28, 2004
VALIC FINANCIAL ADVISORS, INC.
November 11, 2003 - January 28, 2004
VALIC FINANCIAL ADVISORS, INC.
February 28, 2003 - July 7, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 28, 2003 - July 7, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 2000 - March 10, 2003
UBS FINANCIAL SERVICES INC.
February 16, 2000 - March 10, 2003
UBS FINANCIAL SERVICES 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
Current Firm
FIRST BROKERAGE AMERICA, L.L.C.
CRD#: 43431 / SEC#: , 8-50271
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELLEN C. DIERBERG FAMILY TRUST | OWNER | |
| JAMES F. DIERBERG II FAMILY TRUST | OWNER | |
| MICHAEL J. DIERBERG FAMILY TRUST | OWNER | |
| DIERBERG, MARY WELP | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | 4053054 |
| FIRST BANKS, INC | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | |
| FURMAN, EDWARD DAVID | MSRB PRINCIPAL | 1426353 |
| PRESSON, DAVID ALAN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | 1237920 |
| ROBERTS, SARAH ANN | OPERATIONS MANAGER | 2472587 |
| TODD, EUGENE REEVES | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 2639876 |
Disclosures
| Regulatory Event | 1 |
| 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.
