James H. Stovesand
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 Howard Stovesand was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1967. James had worked at 6 firms and has passed the Series 65, Series 63, Series 5, Series 000, Series 1, Series 8, Series 24, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 1999 - October 3, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 30, 1994 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
April 29, 1983 - September 22, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 25, 1982 - April 25, 1983
E. F. HUTTON & COMPANY INC
September 26, 1978 - February 12, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 28, 1967 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/9/1981
Interest Rate Options ExaminationSeries 000
Date: 11/27/1967
General Securities Principal ExaminationSeries 1
Date: 11/27/1967
Registered Representative ExaminationSeries 8
Date: 9/19/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 11/27/1967
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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