James J. Stone
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 J Stone, who also goes by James Justin Stone, James Justin Stone, Justin Stone, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 3 firms and has passed the Series 65, 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
September 5, 2017 - August 9, 2021
ROCK ELM CAPITAL MANAGEMENT LLC
September 20, 2005 - August 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 15, 2002 - May 13, 2005
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROCK ELM CAPITAL MANAGEMENT LLC
CRD#: 287783 / SEC#:
Contact information
Red Flags
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