James R. Day
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 Robert Day was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 2000. James had worked at 4 firms and has passed the Series 65, Series 63 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
April 29, 2009 - February 17, 2010
CROWELL, WEEDON & CO.
April 29, 2009 - February 17, 2010
CROWELL, WEEDON & CO.
August 1, 2008 - April 23, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
July 31, 2008 - April 23, 2009
WESTERN INTERNATIONAL SECURITIES, INC.
July 5, 2007 - August 4, 2008
MORGAN STANLEY & CO. LLC
July 5, 2007 - August 4, 2008
MORGAN STANLEY & CO. LLC
October 29, 2004 - July 6, 2007
M.L. STERN & CO., LLC.
April 4, 2000 - July 6, 2007
M.L. STERN & CO., 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
CROWELL, WEEDON & CO.
CRD#: 193 / SEC#: 801-67246, 8-3710
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMES, RALPH HERBERT | GENERAL PARTNER | 4399 |
| BELLESILES, JACQUES ERNEST | GENERAL PARTNER | 17599 |
| BLAND, DAVID LEE | GENERAL PARTNER | 1099854 |
| CARLSON, RODNEY CHARLES | GENERAL PARTNER | 2285986 |
| CHRISTOPHER, DOUGLAS ANDREA | GENERAL PARTNER | 1995432 |
| COUNCIL, WILLIAM MICHAEL | GENERAL PARTNER | 848504 |
| CRONK, JAMES LEE | GENERAL PARTNER/COO | 1104799 |
| CROWELL, ANDREW EDWARD | GENERAL PARTNER/CEO | 1288101 |
| CROWELL, DONALD WARREN JR | GENERAL PARTNER | 1320520 |
| DOUD, CHARLES OREILLY | GENERAL PARTNER | 70836 |
| DOUD, THOMAS JOSEPH | GENERAL PARTNER | 2758142 |
| DOUGHERTY, JAMES WEAVER | GENERAL PARTNER | 1620921 |
| DOYEL, DENNIS MICHAEL | GENERAL PARTNER | 1789529 |
| FUNG, EDDIE SHU | GENERAL PARTNER | 2622816 |
| GINSBERG, KLINDT EMIL | GENERAL PARTNER | 1846752 |
| GRIFFIN, ALAN MILES | GENERAL PARTNER | 853835 |
| GROSSMAN, ALAN JAY | GENERAL PARTNER | 1225441 |
| HALES, JOHN MORRIS | GENERAL PARTNER | 233868 |
| HARRIS, ROBERT CARROLL | GENERAL PARTNER | 1083781 |
| HASSAN, ROBERT HARRIS | GENERAL PARTNER | 833059 |
| HOOD, THOMAS JAMES | GENERAL PARTNER | 1297995 |
| JACKSON, STEVEN CHARLES | GENERAL PARTNER | 1358825 |
| KARANTONIS, ANTONIOS | GENERAL PARTNER / CFO | 2331154 |
| KRUGER, JAMES ROY | GENERAL PARTNER/CHIEF COMPLIANCE OFFICER | 1171805 |
| KURATOMI, LINDA KEIKO | GENERAL PARTNER | 1258198 |
| MORITZ, THOMAS ANDREW | GENERAL PARTNER | 1864800 |
| MULLIGAN, STEVEN JAMES | GENERAL PARTNER | 2372962 |
| OLEARY, JOSEPH LENNON | GENERAL PARTNER | 2357537 |
| PAULSON, THEODORE RUSSELL | GENERAL PARTNER | 358333 |
| RAGAN, JAMES DARRELL | GENERAL PARTNER | 1513433 |
| REITNOUER, JOHN FREDERICK | GENERAL PARTNER | 1796658 |
| REITNOUER, LYNN PAUL | GENERAL PARTNER | 373927 |
| ROBBINS, KENNETH WILLIAM | GENERAL PARTNER | 2588039 |
| SWANSON, SCOTT MICHAEL | GENERAL PARTNER | 2198688 |
| THOMAS, DANIEL SCOTT | GENERAL PARTNER | 2195656 |
| TODD, BLAKE TRAMILL | GENERAL PARTNER | 702561 |
| WEST, THOMAS WESLEY | GENERAL PARTNER | 1162385 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 9 |
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.
