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JT

James F. Twaddell

Some features on this profile are disabled
CRD#: 451003
JT

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 Freeman Twaddell was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1970. James had worked at 9 firms and has passed the Series 63, SIE, Series 1, F04 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 17, 2017 - December 19, 2017

I-BANKERS SECURITIES, INC.

BD
CRD#: 41352
NEW YORK, NY
Past

March 20, 2012 - January 23, 2017

BARRETT & COMPANY

BD
CRD#: 1175
PROVIDENCE, RI
Past

December 12, 2001 - March 23, 2012

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
PROVIDENCE, RI
Past

July 19, 1995 - November 28, 2001

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

January 13, 1982 - April 16, 1984

BURGESS & LEITH INCORPORATED

BD
CRD#: 114
Past

November 21, 1980 - February 10, 1982

F. L. PUTNAM & COMPANY, INC.

BD
CRD#: 6305
Past

October 2, 1974 - July 11, 1995

BARCLAY INVESTMENTS LLC

BD
CRD#: 6159
NEW YORK, NY
Past

February 9, 1971 - November 7, 1974

KIDDER, PEABODY & CO., INCORPORATED

BD
CRD#: 488
Past

December 23, 1970 - April 26, 1971

GOODBODY & CO. INCORPORATED

BD
CRD#: 362

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/19/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 4/21/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
F04
Date: 3/22/1975
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 3/22/1975
General Securities Principal Examination

Current Firm

IS
I-BANKERS SECURITIES, INC.
I-BANKERS SECURITIES, INC. | MILLENNIUM FINANCIAL GROUP, INC. | IBS HOLDING CORPORATION

CRD#: 41352 / SEC#: , 8-49385

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1200 N Federal Hwy Suite 215, Boca Raton, FL 33432
Mailing Address
1200 N Federal Hwy Suite 215, Boca Raton, FL 33432
Phone number
(817) 980-9034
Established
Texas since 06/06/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MCCRORY, JAMES MICHAELBOARD CHAIRMAN/OWNER2366988
LEONARD, SHELLEY KAYOWNER2401474
FLORIANI, PAOLO ERMENEGILDOSHAREHOLDER2760686
LEVIN, ALAN BRUCECFO3073530
MCCLOSKEY, MATTHEW JOSEPHPRESIDENT/CEO3035438
THAYER, LARRY DANIEL JRCHIEF COMPLIANCE OFFICER4598879

Disclosures

Regulatory Event2

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.

Company Information

I-BANKERS SECURITIES, INC.

CRD#: 41352

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