James W. Stevens

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CRD#: 4753216

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 W Stevens, who also goes by James William Stevens, Jim W. Stevens, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2004. James had worked at 7 firms and has passed the Series 66, Series 63, Series 31, Series 7, Series 28 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James William Stevens | Jim W. Stevens

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

July 14, 2015 - August 19, 2015

LEADER CAPITAL CORP.

RIA

CRD#: 46206

PORTLAND, OR

Past

January 22, 2013 - January 8, 2015

FISHER INVESTMENTS

RIA

CRD#: 107342

PORTLAND, OR

Past

August 12, 2011 - April 18, 2012

MORGAN STANLEY

RIA

CRD#: 149777

PORTLAND, OR

Past

July 18, 2011 - April 18, 2012

MORGAN STANLEY

CRD#: 149777

PORTLAND, OR

Past

June 22, 2006 - December 31, 2007

CAPITAL MARKETING PARTNERS, INC.

CRD#: 139767

PORTLAND, OR

Past

February 7, 2006 - July 6, 2006

MKG FINANCIAL GROUP, INC.

CRD#: 104214

PORTLAND, OR

Past

February 4, 2005 - July 25, 2005

CAPSTONE INVESTMENTS

CRD#: 41400

SAN DIEGO, CA

Past

March 17, 2004 - January 5, 2005

COAST ASSET SECURITIES LLC

CRD#: 29319

SANTA MONICA, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LEADER CAPITAL CORP.

CRD#: 46206 / SEC#: 801-56684, 8-51343

RIA

Registered Investment Advisory firm - SEC (7/16/1999 Approved)

Terminated by SEC on 08/28/2020

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/11/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/15/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 9/9/2011

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/16/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 28

Date: 5/8/2006

Introducing Broker/Dealer Financial Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/2006

General Securities Principal Examination

Current Firm

LEADER CAPITAL CORP.

CRD#: 46206 / SEC#: 801-56684, 8-51343

RIA

Registered Investment Advisory firm - SEC (7/16/1999 Approved)

Terminated by SEC on 08/28/2020

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Contact information

Main Address

315 W. Mill Plain Blvd. Suite 204, Vancouver, WA 98660

Mailing Address

Phone number

(503) 294-1010

Established

Washington since 05/31/2010

Firm type

Corporation

Fiscal year end

June

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
LEKAS, JOHN EMMET	PRESIDENT, VP, SECRETARY, TREASURER	1411663
DILLON, CANDY LEE	CCO	4408183

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 1,135,338,351

Disclosures

Regulatory Event	1
Civil Event	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.

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Firm Stability Insights

James W. Stevens

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FISHER INVESTMENTS

MORGAN STANLEY

MORGAN STANLEY

CAPITAL MARKETING PARTNERS, INC.

MKG FINANCIAL GROUP, INC.

CAPSTONE INVESTMENTS

COAST ASSET SECURITIES LLC

Primary Firm SEC Registration

LEADER CAPITAL CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/11/2011

Series 63

Date: 3/15/2004

Series 31

Date: 9/9/2011

Series 7

Date: 7/16/2011

Series 28

Date: 5/8/2006

Series 24

Date: 3/16/2006

Current Firm

LEADER CAPITAL CORP.

Contact information

SEC notice filing (2 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LEADER CAPITAL CORP.

TRUST BUT VERIFY

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