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JG

James S. Gossett

Some features on this profile are disabled
CRD#: 4574668
JG

Professional summary

James Stanley Gossett 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 advisor and started their career in finance in 2002. Prior to being barred, James had worked at 3 firms, which includes TRADERIGHT SECURITIES INC., AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stanley Gossett

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

February 23, 2005 - April 9, 2007

TRADERIGHT SECURITIES, INC.

BD
CRD#: 45598
PLANO, TX
Past

February 19, 2004 - July 19, 2004

TRADERIGHT SECURITIES, INC.

BD
CRD#: 45598
LOCKPORT, IL
Past

December 13, 2002 - December 18, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DALLAS, TX
Past

November 26, 2002 - December 18, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 26, 2002 - December 18, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
IAR
Series 66
Date: 12/12/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/2002
General Securities Representative Examination

Current Firm

TS
TRADERIGHT SECURITIES, INC.
DBA: NDX ADVISORS | TRADERIGHT, CORP. D/B/A TRADERIGHT SECURITIES, INC. | TRADERIGHT SECURITIES, INC. | TRADERIGHT SECURITIES | TRADERIGHT CORPORATION | TRADERIGHT CORP. | TRADERIGHT CORP DBA TRADERIGHT SECURITIES, INC | NDX TRADING INC --AFFILATE BY COMMON OWNERSHIP | NDX ADVISORS, LLC | ENTERPRISE ADVISORY GROUP, INC.

CRD#: 45598 / SEC#: , 8-51101

BD
Terminated by SEC on 06/16/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 12/01/1997
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FINANCIAL NETWORKS GROUP, LLCSHAREHOLDER
DRAGEL, GEORGE EDWARDCCO/AMLCO/CORPORATE SECRETARY1718650
RUKUJZO, MICHAEL JOHNPRESIDENT/REGISTERED PRINCIPAL/SROP/CROP/FINOP/TREASURER1386173

Disclosures

Regulatory Event3
Arbitration1

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

TRADERIGHT SECURITIES, INC.

CRD#: 45598

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