JE
James L. Elliott
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CRD#: 4605005
JE
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 Lanier Elliott SR, who also goes by Jim Elliott, 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, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jim Elliott
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.
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®
NoneExperience
Past
June 25, 2014 - December 23, 2016
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
PARIS, KY
Past
June 12, 2014 - December 23, 2016
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
PARIS, KY
Past
January 25, 2006 - July 11, 2012
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
LEXINGTON, KY
Past
December 15, 2005 - July 11, 2012
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
LEXINGTON, KY
Past
March 3, 2005 - January 6, 2006
BB&T ASSET MANAGEMENT, INC.
RIA
CRD#: 108443
LEXINGTON, KY
Past
May 26, 2004 - October 14, 2004
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
CHARLOTTE, NC
Past
November 14, 2002 - October 14, 2004
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
CHARLOTTE, NC
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
IP
INVESTMENT PROFESSIONALS, INC.
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CRD#: 30184 / SEC#: 801-67704, 8-44786
BD
Terminated by SEC on 12/01/2018
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Contact information
Main Address
16414 San Pedro Avenue Suite 300, San Antonio, TX 78232
Mailing Address
Phone number
Established
Texas since 03/16/1992
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
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.
