James C. Crumbliss
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 Clay Crumbliss Jr, who also goes by James C Crumbliss Jr, James C Crumbliss, James Clay Crumbliss, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2013. James had worked at 4 firms and has passed the Series 63, Series 86, Series 87, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2025 - June 10, 2026
BARNETT & CO INC
January 13, 2022 - January 8, 2024
ICR CAPITAL LLC
June 21, 2018 - November 15, 2021
GUGGENHEIM SECURITIES, LLC
February 24, 2013 - July 12, 2018
CREDIT SUISSE SECURITIES (USA) LLC
Primary Firm SEC Registration
BARNETT & CO INC
CRD#: 105867 / SEC#: 801-20295
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
BARNETT & CO INC
CRD#: 105867 / SEC#: 801-20295
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 263 |
| AUM (Assets Under Management) | $ 142,016,348 |
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.
