James A. Tyson
Professional summary
James Arlie Tyson SR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, James had worked at 6 firms, which includes RAYMOND JAMES FINANCIAL SERVICES INC., INVESTACORP INC., RAYMOND JAMES & ASSOCIATES INC., AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1991 - October 9, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 12, 1990 - April 11, 1991
INVESTACORP, INC.
March 20, 1986 - April 25, 1990
RAYMOND JAMES & ASSOCIATES, INC.
April 6, 1973 - April 13, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
April 6, 1973 - April 13, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
April 6, 1973 - April 13, 1978
IDS LIFE INSURANCE 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
PC
Date: 3/15/1986
AMEX Put and Call ExamSeries 1
Date: 4/5/1973
Registered Representative 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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