James M. Kingsbury
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 Merwin Kingsbury, who also goes by James Mervin Kingsbury, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 11 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2014 - December 14, 2021
NATIONAL SECURITIES CORPORATION
March 23, 2010 - May 18, 2012
AEGIS CAPITAL CORP.
January 16, 2009 - March 30, 2010
GUNNALLEN FINANCIAL, INC
April 2, 2007 - November 28, 2008
MORGAN STANLEY & CO. LLC
August 18, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
August 20, 1999 - September 14, 2006
CITIGROUP GLOBAL MARKETS INC.
January 28, 1995 - September 3, 1999
UBS FINANCIAL SERVICES INC.
April 15, 1992 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
August 29, 1989 - April 11, 1992
GLEACHER & COMPANY SECURITIES, INC.
November 3, 1987 - August 30, 1989
LEGG MASON WOOD WALKER, INCORPORATED
May 19, 1976 - November 4, 1987
LEGG MASON MASTEN 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/18/1977
AMEX Put and Call ExamSeries 1
Date: 8/31/1961
Registered Representative ExaminationSeries 8
Date: 9/3/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
