James R. Owens
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 R Owens, who also goes by James Owens, Jim R Owens, 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 66, SIE 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
July 30, 2013 - August 3, 2015
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
July 30, 2013 - August 3, 2015
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
June 20, 2011 - July 31, 2013
U.S. BANCORP ADVISORS, LLC
May 19, 2011 - July 31, 2013
U.S. BANCORP ADVISORS, LLC
August 15, 2008 - September 27, 2010
U.S. BANCORP ADVISORS, LLC
August 11, 2008 - September 27, 2010
U.S. BANCORP ADVISORS, LLC
June 21, 2002 - February 15, 2007
KEYBANC CAPITAL MARKETS INC.
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
Current Firm
STEWARD PARTNERS INVESTMENT SOLUTIONS, LLC
CRD#: 1254 / SEC#: 801-67179, 8-2915
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 2,712 |
| AUM (Assets Under Management) | $ 990,880,713 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2023 |
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.
