James H. Stivers
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 Harold Stivers, who also goes by Barney Stivers, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 16 firms and has passed the Series 63, SIE and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2014 - January 3, 2017
SIMMONS FIRST INVESTMENT GROUP, INC.
January 19, 2006 - December 2, 2014
SIMMONS FIRST INVESTMENT GROUP, INC.
July 25, 2002 - January 18, 2006
STERNE, AGEE & LEACH, INC.
July 31, 2001 - February 6, 2002
BOK FINANCIAL SECURITIES, INC.
May 14, 2001 - August 6, 2001
AMUNI FINANCIAL, INC.
April 12, 2001 - April 19, 2001
MORGAN KEEGAN & COMPANY, LLC
September 22, 1998 - April 12, 2001
REGIONS INVESTMENT COMPANY, INC.
April 23, 1993 - October 6, 1998
FIRST COMMERCIAL INVESTMENTS, INC.
November 22, 1988 - December 31, 1991
AMERIPRISE ADVISOR SERVICES, INC.
May 22, 1987 - January 12, 1988
SOVRAN INVESTMENT CORPORATION
February 1, 1982 - December 21, 1983
T. J. RANEY & SONS, INC.
May 19, 1980 - March 4, 1982
SOUTHSTATE SECURITIES CORP.
September 21, 1978 - June 12, 1980
DORSEY & COMPANY, INC.
June 1, 1978 - October 11, 1978
LADENBURG THALMANN & CO. INC.
October 26, 1977 - June 11, 1978
TRANSAMERICAN SECURITIES, INC.
February 9, 1976 - May 22, 1977
G. WEEKS & CO., INC.
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 40
Date: 11/21/1976
Registered Principal ExaminationCurrent Firm
SIMMONS FIRST INVESTMENT GROUP, INC.
CRD#: 47439 / SEC#: 801-108161, 8-51795
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SIMMONS BANK | 100% OWNER | |
| CASTEEL, MARTY DALE | DIRECTOR | |
| CLEMENT, JOE WINTERS III | DIRECTOR | 1305699 |
| CURZON, WILLIAM CARY | PRESIDENT | |
| FEHLMAN, ROBERT A | DIRECTOR | |
| JOHNSON, ANGELA LEIGH | CHIEF FINANCIAL OFFICER | 5389137 |
| JOHNSON, RICHARD WAYNE | DIRECTOR | 260111 |
| TAPPAN, PHILIP ANDREW | DIRECTOR | 1197696 |
| WITT, LAURA LEA | CCO | 5699623 |
Disclosures
| Regulatory Event | 2 |
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.
