Ernell C. James
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.
Ernell Casroy James, who also goes by Ernell C James, was a registered financial professional .
Ernell is a previously registered financial professional and started their career in finance in 2000. Ernell had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 4 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
January 11, 2012 - November 11, 2015
REVERE SECURITIES LLC
August 20, 2008 - October 14, 2011
ASD FINANCIAL SERVICES CORP
February 17, 2004 - October 14, 2011
ASD FINANCIAL SERVICES CORP
December 6, 2001 - February 17, 2004
THE PARTNERS FINANCIAL GROUP, INC.
November 27, 2000 - May 5, 2001
FIRST EQUITY CORPORATION OF FLORIDA
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
REVERE SECURITIES LLC
CRD#: 14178 / SEC#: , 8-30511
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 14 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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