James J. Stangroom
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 Joseph Stangroom, who also goes by Jim Stangroom, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2013 - September 23, 2016
SOUTHEAST INVESTMENTS, N.C., INC.
August 28, 2007 - December 20, 2012
CENTAURUS FINANCIAL, INC.
August 27, 2007 - December 20, 2012
CENTAURUS FINANCIAL, INC.
October 25, 2006 - December 31, 2006
LEVEL FOUR FINANCIAL, LLC
October 25, 2006 - July 20, 2007
LEVEL FOUR FINANCIAL, LLC
February 21, 2006 - October 27, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 9, 2006 - October 27, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 5, 2005 - December 19, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 3, 2003 - December 19, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 23, 1993 - June 12, 2003
LOCUST STREET SECURITIES, INC.
January 29, 1991 - September 7, 1993
WORLD INVEST CORPORATION
August 27, 1982 - February 5, 1991
RELIASTAR FINANCIAL MARKETING CORP.
July 22, 1980 - July 12, 1982
JOHN HANCOCK DISTRIBUTORS LLC
March 28, 1973 - August 1, 1980
PACIFIC SELECT DISTRIBUTORS, LLC
September 4, 1969 - September 21, 1976
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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 1
Date: 8/27/1969
Registered Representative ExaminationCurrent Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
