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JE

James C. Ermine

FIRST COMMAND BROKERAGE SERVICES
Fort Worth, TX 76109
Some features on this profile are disabled
CRD#: 4904808
JE

Professional summary

James Christopher Ermine, who also goes by Chris Ermine, James Christopher Ermine, James Ermine, is a registered financial professional currently at FIRST COMMAND BROKERAGE SERVICES, INC. located in Fort Worth, Texas.

James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Ermine | James Christopher Ermine | James Ermine

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) - BD

Click below to view James Christopher Ermine's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 2, 2024 - Present

FIRST COMMAND BROKERAGE SERVICES, INC.

Office #1: 1 Firstcomm Plaza, Fort Worth, TX 76109
BD
CRD#: 3641
Fort Worth, TX
Past

September 20, 2021 - January 10, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Westlake, TX
Past

April 22, 2006 - October 19, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
Southlake, TX
Past

August 5, 2005 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX

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
Texas
(10/2/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/18/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/5/2007
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/22/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FC
FIRST COMMAND BROKERAGE SERVICES, INC.
FIRST COMMAND ADVISORY SERVICES | UNITED SERVICES PLANNING ASSOCIATION, INC. | FIRST COMMAND INSURANCE SERVICES INC. | FIRST COMMAND FINANCIAL SERVICES, INC. | FIRST COMMAND FINANCIAL PLANNING, INC. | FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641 / SEC#: , 8-7072

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1 Firstcomm Plaza, Ft Worth, TX 76109-4978
Mailing Address
P.o. Box 2387, Fort Worth, TX 76113
Phone number
(817) 731-8621
Established
Texas since 11/24/1958
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

NamePositionCRD#
FIRST COMMAND FINANCIAL SERVICES, INC.STOCKHOLDER/OWNER
CADDELL, TINA KATHERINEVICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER3041675
CERBONE, HEIDI ELIZABETHVICE PRESIDENT AND TREASURER5734664
CHARTAN, ERICSENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER4809520
GRIFFIN, CASEY JAMESSENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER3124214
HUBKA, MEEGHAN LYNNEVICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP)5859322
RICHTER, KELLEEN MARIEEXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER2098017
SMITH, FRANK DEANSENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER6005160
STEFFE, MARK DUANEPRESIDENT/CEO2204689

Disclosures

Regulatory Event5
Arbitration3

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.

Company Information

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641Fort Worth, TX 76109

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