James A. Negley
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 A Negley, who also goes by James A. Negley, James Aaron Negley, Jim Negley, Jim Negley, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2004. James had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, 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
June 12, 2017 - April 15, 2020
SPIRE SECURITIES, LLC
July 6, 2016 - October 31, 2016
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
October 7, 2015 - June 27, 2016
FORESIDE FUND SERVICES, LLC
February 10, 2014 - October 1, 2015
SCOTTRADE, INC.
December 6, 2012 - February 5, 2014
CAPITAL ONE FINANCIAL ADVISORS LLC
November 29, 2012 - February 5, 2014
CAPITAL ONE INVESTMENT SERVICES LLC
January 1, 2011 - November 19, 2012
TRUIST INVESTMENT SERVICES, INC.
December 23, 2010 - November 19, 2012
TRUIST INVESTMENT SERVICES, INC.
April 30, 2009 - December 31, 2010
INSIGHT INVESTMENT ADVISORS, LLC
August 15, 2008 - January 22, 2009
SANDERS MORRIS LLC
November 29, 2007 - January 21, 2009
EDELMAN FINANCIAL ADVISORS LLC
January 11, 2007 - November 29, 2007
EDELMAN FINANCIAL SERVICES, LLC
June 22, 2006 - January 8, 2007
FIDELITY BROKERAGE SERVICES LLC
July 5, 2005 - June 13, 2006
OSAIC FA, INC.
May 31, 2005 - May 26, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 31, 2005 - June 13, 2006
OSAIC FA, INC.
August 26, 2004 - May 17, 2005
FIDELITY BROKERAGE SERVICES LLC
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 7TO
Date: 11/17/2022
General Securities Representative ExaminationCurrent Firm
SPIRE SECURITIES, LLC
CRD#: 144131 / SEC#: , 8-67635
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
| 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.
