JT
James R. Taft
CROW HOLDINGS SECURITIES, L.L.C.
Dallas, TX 75219
Some features on this profile are disabled
CRD#: 5386181
JT
Professional summary
James Russell Taft III is a registered financial professional currently at CROW HOLDINGS SECURITIES, L.L.C. located in Dallas, Texas.
James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 63, Series 65, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view James Russell Taft III's 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®
NoneExperience
Current
February 10, 2022 - Present
CROW HOLDINGS SECURITIES, L.L.C.
Office #1: 3819 Maple Avenue, Dallas, TX 75219BD
CRD#: 308543
Dallas, TX
Past
February 21, 2019 - June 3, 2021
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
IRVINE, CA
Past
September 9, 2008 - November 2, 2018
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
RADNOR, PA
Past
October 18, 2007 - April 23, 2008
SEI INVESTMENTS MANAGEMENT CORP
RIA
CRD#: 105146
OAKS, PA
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
Alabama(3/25/2022)
RR
Alaska(6/10/2022)
RR
Arizona(4/20/2022)
RR
Arkansas(5/24/2022)
RR
California(3/20/2022)
RR
Colorado(3/20/2022)
RR
Connecticut(3/23/2022)
RR
Delaware(3/20/2022)
RR
District of Columbia(3/21/2022)
RR
Florida(5/27/2022)
RR
Georgia(3/20/2022)
RR
Hawaii(4/1/2022)
RR
Idaho(3/20/2022)
RR
Illinois(5/26/2022)
RR
Indiana(9/28/2022)
RR
Iowa(3/20/2022)
RR
Kansas(5/2/2022)
RR
Kentucky(3/20/2022)
RR
Louisiana(3/20/2022)
RR
Maine(3/20/2022)
RR
Maryland(3/22/2022)
RR
Massachusetts(4/29/2022)
RR
Michigan(5/20/2022)
RR
Minnesota(12/22/2022)
RR
Mississippi(3/20/2022)
RR
Missouri(5/27/2022)
RR
Montana(5/18/2022)
RR
Nebraska(5/2/2022)
RR
Nevada(3/20/2022)
RR
New Hampshire(5/5/2022)
RR
New Jersey(5/23/2022)
RR
New Mexico(6/21/2022)
RR
New York(3/20/2022)
RR
North Carolina(3/20/2022)
RR
North Dakota(5/18/2022)
RR
Ohio(4/4/2022)
RR
Oklahoma(4/20/2022)
RR
Oregon(4/5/2022)
RR
Pennsylvania(3/20/2022)
RR
Puerto Rico(5/10/2022)
RR
Rhode Island(3/20/2022)
RR
South Carolina(5/24/2022)
RR
South Dakota(4/19/2022)
RR
Tennessee(5/2/2022)
RR
Texas(2/24/2022)
RR
Utah(3/20/2022)
RR
Vermont(5/2/2022)
RR
Virgin Islands(4/27/2022)
RR
Virginia(3/20/2022)
RR
Washington(4/19/2022)
RR
West Virginia(4/14/2022)
RR
Wisconsin(5/2/2022)
RR
Wyoming(6/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 9/9/2022
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CH
CROW HOLDINGS SECURITIES, L.L.C.
CROW HOLDINGS SECURITIES, L.L.C.
CRD#: 308543 / SEC#: , 8-70656
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
3819 Maple Avenue, Dallas, TX 75219
Mailing Address
3819 Maple Avenue, Dallas, TX 75219
Phone number
(214) 661-8000
Established
Delaware since 03/16/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
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
CROW HOLDINGS SECURITIES, L.L.C.
CRD#: 308543Dallas, TX 75219TRUST BUT VERIFY
Monitor James Taft
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
