James M. Sulester Jr
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 Michael Sulester Jr was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 4 firms and has passed the Series 63, SIE, Series 55, Series 7 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
February 1, 2016 - September 14, 2016
M. E. ALLISON & CO., INC.
June 17, 2013 - December 4, 2015
BRAYMEN, LAMBERT AND NOEL SECURITIES, LTD.
September 30, 2008 - June 17, 2013
WESTLAKE SECURITIES
January 21, 2004 - September 24, 2008
TEJAS SECURITIES GROUP, INC.
Primary Firm SEC Registration
M. E. ALLISON & CO., INC.
CRD#: 1047 / SEC#: 801-129805, 8-1402
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
Series 55
Date: 12/20/2005
Limited Representative-Equity Trader ExamCurrent Firm
M. E. ALLISON & CO., INC.
CRD#: 1047 / SEC#: 801-129805, 8-1402
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 405 |
| AUM (Assets Under Management) | $ 287,435,346 |
Disclosures
| Regulatory Event | 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.
