James D. Clary
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 David Clary was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
June 15, 2009 - February 2, 2016
ALPS DISTRIBUTORS, INC.
December 10, 2007 - December 31, 2008
QUASAR DISTRIBUTORS, LLC
August 4, 2005 - June 26, 2006
CREDIT SUISSE SECURITIES (USA) LLC
March 3, 2003 - June 6, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
February 18, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
June 21, 2000 - March 3, 2003
WORLDCO, L.L.C.
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 55
Date: 6/26/2000
Limited Representative-Equity Trader ExamCurrent 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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