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JH

James E. Hull

Some features on this profile are disabled
CRD#: 5060021
JH

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 Everette Hull, who also goes by Jay Hull, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 2006. James had worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Hull

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 6, 2011 - August 15, 2012

HARRISDIRECT LLC

RIA
CRD#: 42159
ARLINGTON, VA
Past

March 30, 2011 - August 15, 2012

E*TRADE SECURITIES LLC

BD
CRD#: 29106
PORTLAND, OR
Past

January 19, 2010 - March 24, 2011

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
PORTLAND, OR
Past

January 19, 2010 - March 24, 2011

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
PORTLAND, OR
Past

June 29, 2009 - January 13, 2010

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
PORTLAND, OR
Past

June 25, 2009 - January 13, 2010

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
PORTLAND, OR
Past

May 15, 2009 - October 19, 2009

STRUCTURED CAPITAL RESOURCES CORPORATION

BD
CRD#: 120426
ROCKWALL, TX
Past

January 16, 2006 - May 29, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
VANCOUVER, WA
Past

January 1, 2006 - May 29, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
VANCOUVER, WA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/13/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/2005
General Securities Representative Examination

Current Firm

HL
HARRISDIRECT LLC
CSFBDIRECT | THE HARRIS BROKERAGE | THE HARRIS | PC FINANCIAL NETWORK, INC. | HARRISDIRECT LLC | HARRISDIRECT ADVISORY SERVICES | HARRISDIRECT | HARRIS INVESTOR SERVICES LLC | HARRIS ADVANTEDGE INVESTING | E*TRADE CAPITAL MANAGEMENT, LLC | DLJDIRECT INC. | CSFBDIRECT, LLC | CSFBDIRECT, INC. | CSFBDIRECT LLC

CRD#: 42159 / SEC#: 801-58085, 8-49730

BD
Terminated by SEC on 01/01/2007
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Contact information

Main Address
671 N. Glebe Road 13th Floor, Arlington, VA 22203
Mailing Address
Phone number
(703) 247-3700
Established
Delaware since 08/02/1996
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
0

Documents

Latest Form ADV

Part 2 Brochures

E*TRADE WRAP FEE PROGRAMS BROCHURE (FORM ADV PART 2A - APPENDIX 1) (5/19/2023)

Direct owners and executive officers

NamePositionCRD#
E*TRADE BROKERAGE HOLDINGS, INC.SHAREHOLDER
ALBINO, MICHAEL JOSEPHCHIEF COMPLIANCE OFFICER/CROP/SROP - BD864412
BOCK, CYNTHIA CRAMERCORPORATE SECRETARY
CURCIO, MICHAEL JOHNMANAGER1620743
FOSTER, JONATHAN RICEPRESIDENT1037245
HAVENS, GILBERT SCHUYLERVICE PRESIDENT - IA2508109
KAMEDA, ROBIN GEN WAI KIRNCHIEF COMPLIANCE OFFICER - IA1821479
LILIEN, ROBERT JARRETTCEO, MANAGER1337819
REYES, CHRISTOPHER VALENTINCHIEF FINANCIAL OFFICER2105804
ROBERTS, THOMAS HENRY IIIVICE PRESIDENT - BD2104665
WILSON, MICHAEL JAMESCHIEF COMPLIANCE OFFICER - INTERNATIONAL2446305

Regulatory assets under management

Total Number of Accounts90,806
AUM (Assets Under Management)$ 7,406,529,807

Disclosures

Arbitration3

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/23/2023
Cover Page
Report
09/27/2022
Cover Page
Report
12/21/2021
Cover Page
Report

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

HARRISDIRECT LLC

CRD#: 42159

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