James H. Lumley
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 Herbert Lumley, who also goes by James Herbert Liemley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2018 - December 8, 2020
ALPS DISTRIBUTORS, INC.
August 2, 2012 - July 6, 2017
ALPS DISTRIBUTORS, INC.
September 19, 2011 - June 11, 2012
TRANSAMERICA CAPITAL, LLC
April 20, 2011 - September 20, 2011
KEY INVESTMENT SERVICES LLC
June 1, 2004 - February 16, 2011
WELLS FARGO CLEARING SERVICES, LLC
December 13, 2002 - October 22, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
