James M. Davey
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 Martin Davey, who also goes by Jim Martin Davey, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2008. James had worked at 3 firms and has passed the Series 66 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
March 8, 2013 - April 28, 2016
CROSSROADS CAPITAL MANAGEMENT, INC.
March 25, 2011 - December 13, 2012
CROSSROADS CAPITAL MANAGEMENT, INC.
August 8, 2008 - January 7, 2011
EQUITABLE ADVISORS, LLC
August 7, 2008 - January 7, 2011
EQUITABLE ADVISORS, LLC
June 9, 2008 - June 19, 2008
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CROSSROADS CAPITAL MANAGEMENT, INC.
CRD#: 145677 / SEC#:
Contact information
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.
