James L. Toms
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 Louis Toms was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 12 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2004 - April 4, 2005
INVESTMENT SECURITY CORPORATION
May 7, 1996 - August 30, 2004
INVESTMENT ARCHITECTS, INC.
November 10, 1995 - January 4, 1996
FINANCIAL WEST GROUP
January 17, 1995 - November 10, 1995
UNICORP FINANCIAL GROUP
June 23, 1993 - December 20, 1994
RANCON SECURITIES CORPORATION
March 20, 1990 - July 3, 1990
PROMONTORY CAPITAL CORPORATION
January 5, 1990 - October 16, 1992
RANCON SECURITIES CORPORATION
December 20, 1988 - June 20, 1989
FIRST SIERRA INVESTMENT COMPANY, INC.
September 6, 1985 - March 20, 1990
NILCORP SECURITIES COMPANY
January 13, 1982 - October 17, 1988
RANCON SECURITIES CORPORATION
January 5, 1977 - January 6, 1982
FOOTHILL SECURITIES, INC.
February 25, 1976 - February 10, 1977
APEX FINANCIAL PLANNERS CORP.
June 27, 1973 - April 8, 1976
ARM SECURITIES CORPORATION
September 21, 1971 - August 5, 1973
CAPITAL SECURITIES COMPANY
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: 9/16/1971
Registered Representative ExaminationSeries 40
Date: 5/26/1977
Registered Principal ExaminationCurrent Firm
INVESTMENT SECURITY CORPORATION
CRD#: 47536 / SEC#: , 8-51832
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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