Delbert L. Secrist
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.
Delbert Lyle Secrist III, who also goes by Trip Lyle Secrist III, was a registered financial professional .
Delbert is a previously registered financial professional and started their career in finance in 2000. Delbert had worked at 9 firms and has passed the Series 66, 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
November 6, 2020 - May 22, 2023
ST. JAMES INVESTMENT COMPANY, LLC
October 9, 2014 - July 31, 2020
BEACON POINTE ADVISORS, LLC
November 18, 2013 - September 10, 2014
GLOBAL HUNTER SECURITIES, LLC
November 18, 2013 - September 10, 2014
GHS TRADING LLC
July 8, 2013 - October 30, 2013
GREAT PACIFIC SECURITIES
February 27, 2009 - February 26, 2013
BARCLAYS CAPITAL INC.
September 22, 2008 - February 26, 2013
BARCLAYS CAPITAL INC.
February 12, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
March 28, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
June 26, 2003 - January 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 2003 - January 30, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 20, 2000 - January 24, 2003
J.P. MORGAN SECURITIES LLC
Primary Firm SEC Registration
ST. JAMES INVESTMENT COMPANY, LLC
CRD#: 124777 / SEC#: 801-61779
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
ST. JAMES INVESTMENT COMPANY, LLC
CRD#: 124777 / SEC#: 801-61779
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,105 |
| AUM (Assets Under Management) | $ 595,194,149 |
Red Flags
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