James J. Adams
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 J Adams, who also goes by James John Adams, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 6 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2013 - December 31, 2013
CASTLE ROCK GROUP
August 6, 2009 - August 12, 2009
CHITTENDEN SECURITIES, LLC.
August 6, 2009 - August 12, 2009
CHITTENDEN SECURITIES, LLC.
October 3, 2008 - December 31, 2009
LONG TRAIL FINANCIAL
April 12, 2005 - May 1, 2013
COMMONWEALTH FINANCIAL NETWORK
September 20, 2002 - May 1, 2013
COMMONWEALTH FINANCIAL NETWORK
February 4, 2002 - September 26, 2002
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 9, 1999 - February 5, 2002
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CASTLE ROCK GROUP
CRD#: 167219 / SEC#:
Contact information
Red Flags
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