Stephen E. James
Professional summary
Stephen Edward James is a registered financial professional currently at ALLIANCE-ONE INVESTMENTS, LLC located in Tulsa, Oklahoma.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2005. Stephen has worked at 7 firms and has passed the Series 66, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Edward James's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 11, 2017 - Present
ALLIANCE-ONE INVESTMENTS, LLC
Office #1: 4000 N Mingo Rd, Tulsa, OK 74116February 20, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
February 20, 2014 - June 30, 2016
MSI FINANCIAL SERVICES, INC.
January 14, 2014 - August 11, 2017
METLIFE INVESTORS DISTRIBUTION COMPANY
August 2, 2007 - June 20, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 2, 2007 - June 20, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 7, 2005 - June 29, 2007
OSAIC FA, INC.
April 7, 2005 - May 22, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 7, 2005 - June 29, 2007
OSAIC FA, INC.
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
Red Flags
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Company Information
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025Tulsa, OK 74116TRUST BUT VERIFY
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