James A. Van Houten
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 Alan Van Houten, who also goes by Jim Van Houten, James Alan Vanhouten, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, V06, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2013 - December 31, 2015
CROWN CAPITAL SECURITIES, L.P.
March 9, 2011 - March 8, 2013
ON INVESTMENT MANAGEMENT CO
August 5, 2010 - March 8, 2013
THE O.N. EQUITY SALES COMPANY
May 5, 2010 - August 5, 2010
OSAIC SERVICES, INC.
May 3, 2010 - May 3, 2010
THE O.N. EQUITY SALES COMPANY
October 31, 2008 - May 4, 2010
OSAIC SERVICES, INC.
June 22, 2004 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
December 13, 2001 - June 16, 2004
METROPOLITAN LIFE INSURANCE COMPANY
December 13, 2001 - June 16, 2004
MSI FINANCIAL SERVICES, INC.
December 7, 2000 - December 3, 2001
CARILLON INVESTMENTS, INC.
August 26, 1982 - December 19, 2000
MML INVESTORS SERVICES, LLC
December 18, 1969 - January 2, 1988
MASSACHUSETTS MUTUAL 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
V06
Date: 12/13/1969
Variable Annuities Module ExaminationCurrent Firm
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
