James R. Adams
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 Richard Adams was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2006 - August 24, 2021
SOUND INVESTMENT STRATEGIES, INC.
September 14, 1992 - December 31, 2007
GUARDIAN CAPITAL INC
July 22, 1988 - April 7, 1992
CIBC WORLD MARKETS CORP.
November 4, 1981 - August 4, 1988
LEHMAN BROTHERS INC.
January 16, 1981 - March 17, 1982
LEHMAN BROTHERS INC.
April 6, 1976 - October 16, 1980
MARSHALL AND MEYER, INCORPORATED
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
Current Firm
SOUND INVESTMENT STRATEGIES, INC.
CRD#: 141440 / SEC#: 801-67170
Contact information
Regulatory assets under management
| Total Number of Accounts | 220 |
| AUM (Assets Under Management) | $ 52,066,223 |
Red Flags
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