JS
James S. Sterling
AMERICAN CENTURY INVESTMENT SERVICES
Kansas City, MO 64111
Some features on this profile are disabled
CRD#: 4747699
JS
Professional summary
James Scott Sterling, AIF®, who also goes by J Scott Sterling, James S Sterling, James S. Sterling, James Sterling, Scott Sterling, is a registered financial professional currently at AMERICAN CENTURY INVESTMENT SERVICES INC. located in Kansas City, Missouri.
James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
J Scott Sterling | James S Sterling | James S. Sterling | James Sterling | Scott Sterling
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) - BD
Click below to view James Scott Sterling's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
March 31, 2016 - Present
AMERICAN CENTURY INVESTMENT SERVICES INC.
Office #1: 4500 Main Street, Kansas City, MO 64111BD
CRD#: 17437
Kansas City, MO
Past
August 28, 2015 - March 28, 2016
MMC SECURITIES LLC
RIA
CRD#: 103846
Kansas City, MO
Past
August 24, 2015 - March 28, 2016
MMC SECURITIES LLC
BD
CRD#: 103846
Kansas City, MO
Past
March 14, 2006 - December 31, 2012
AMERICAN CENTURY ADVISORY SERVICES, INC.
RIA
CRD#: 121974
KANSAS CITY, MO
Past
September 22, 2005 - August 24, 2015
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Past
June 14, 2004 - April 5, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
OVERLAND PARK, KS
Past
April 9, 2004 - April 5, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/31/2016)
RR
Alaska(3/31/2016)
RR
Arizona(3/31/2016)
RR
Arkansas(3/31/2016)
RR
California(3/31/2016)
RR
Colorado(3/31/2016)
RR
Connecticut(3/31/2016)
RR
Delaware(3/31/2016)
RR
District of Columbia(3/31/2016)
RR
Florida(3/31/2016)
RR
Georgia(3/31/2016)
RR
Hawaii(3/31/2016)
RR
Idaho(3/31/2016)
RR
Illinois(3/31/2016)
RR
Indiana(3/31/2016)
RR
Iowa(3/31/2016)
RR
Kansas(3/31/2016)
RR
Kentucky(3/31/2016)
RR
Louisiana(3/31/2016)
RR
Maine(3/31/2016)
RR
Maryland(3/31/2016)
RR
Massachusetts(3/31/2016)
RR
Michigan(3/31/2016)
RR
Minnesota(3/31/2016)
RR
Mississippi(3/31/2016)
RR
Missouri(3/31/2016)
RR
Montana(3/31/2016)
RR
Nebraska(3/31/2016)
RR
Nevada(3/31/2016)
RR
New Hampshire(3/31/2016)
RR
New Jersey(3/31/2016)
RR
New Mexico(3/31/2016)
RR
New York(3/31/2016)
RR
North Carolina(4/2/2016)
RR
North Dakota(3/31/2016)
RR
Ohio(3/31/2016)
RR
Oklahoma(3/31/2016)
RR
Oregon(3/31/2016)
RR
Pennsylvania(3/31/2016)
RR
Rhode Island(3/31/2016)
RR
South Carolina(3/31/2016)
RR
South Dakota(3/31/2016)
RR
Tennessee(3/31/2016)
RR
Texas(3/31/2016)
RR
Utah(3/31/2016)
RR
Vermont(3/31/2016)
RR
Virginia(3/31/2016)
RR
Washington(3/31/2016)
RR
West Virginia(3/31/2016)
RR
Wisconsin(3/31/2016)
RR
Wyoming(3/31/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
AMERICAN CENTURY INVESTMENT SERVICES INC.
AMERICAN CENTURY BROKERAGE | TWENTIETH CENTURY SECURITIES, INC. | PLAZA SECURITIES CORPORATION | AMERICAN CENTURY INVESTMENT SERVICES, INC. | AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
4500 Main Street, Kansas City, MO 64111
Mailing Address
P.o. Box 410141, Kansas City, MO 64141-0141
Phone number
(800) 345-2021
Established
Missouri since 04/18/1962
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
