James J. Stead
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 Stead JR was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1970. James had worked at 8 firms and has passed the Series 63, SIE, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2012 - November 17, 2016
AMERICAN TRUST INVESTMENT SERVICES, INC.
April 13, 2004 - April 23, 2012
BIRKELBACH INVESTMENT SECURITIES, INC.
February 18, 1997 - April 12, 2004
SANCTUARY SECURITIES, INC.
May 4, 1988 - February 11, 1997
TUCKER ANTHONY INCORPORATED
February 27, 1978 - May 20, 1988
CIBC WORLD MARKETS CORP.
December 16, 1976 - April 7, 1978
REYNOLDS SECURITIES, INC.
November 29, 1973 - December 8, 1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 28, 1972 - December 21, 1973
EDWARDS & HANLY
November 18, 1970 - July 25, 1972
REYNOLDS SECURITIES, 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
PC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 4/22/1957
Registered Representative ExaminationSeries 00
Date: 5/1/1970
General Securities Principal ExaminationCurrent Firm
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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